Electronic Records Management and Retention

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Electronic Records Management and Retention

• by
• Debbie Gearhart, CRM, FAI, Director
• Records Management Services
• Dept. of History, Arts Libraries

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Overview

• Michigans Records Management Services
• Retention and Disposal Schedules
• E-mail Retention
• Records Management Application Project

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Records Management Services

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

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Origins

• 1950 Little Hoover Commission
• 1951 State Office Building Fire
• 1952 Records Management Legislation
• 1954 State Records Center Opens
• 2001 Department of History, Arts and Libraries
  (HAL) created
• 2002 Executive Order moves RMS from DMB to HAL

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Laws

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

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Public Records

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

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Retention and Disposal Schedules

• Inventory of records series created and
  maintained by an agency
• All types/formats of records must be covered
• Identify how long records will be kept
• Identify records with permanent value
• Identify when certain records can be destroyed
• Legal documents

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Structured Data

• RMS started scheduling databases in 1998
• Analyze purpose of the system, data fields,
  inputs, outputs, and retention requirements
• Schedules can help DIT
• Plan data migrations
• Manage data storage space
• Identify data that is eligible for disposition

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Unstructured Data

• Desktop applications are used to create records
  that support multiple record series
• Word processed documents, e-mail, spreadsheets,
  e-presentations, document images
• Retention is based upon the purpose of the
  record, not its format
• Retention and storage is controlled by the user

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E-mail Retention
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E-mail Messages are Public Records

• E-mail is recorded information.
• Employees receive computers and users accounts to
  support their work.
• All e-mail that is sent or received using
  government technology resources is a public
  record.

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Tools vs. Records

• E-mail software is a tool that is used to
  transmit records from one computer to another.
• E-mail messages are records.
• Record retention requirements are identified
  based upon content or value of the information
• Why was the record created?
• What business function does it support?

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Examples of Retention Periods

• Contracts are kept for 6 years after they expire.
• General Correspondence is retained 2 years.
• State Govt. Personnel files are retained 7 years
  after employee leaves employment.
• Phone messages are often destroyed after the
  phone call is returned.
• Meeting notices are often destroyed after the
  meeting is held.

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E-mail Retention Guidelines

• Tools designed to educate state employees about
  their responsibilities
• Endorsed by the Electronic Records Committee in
  2000
• Issued to local governments in 2001
• Will be issued jointly by HAL and DIT after
  presentation to MITEC

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E-mail Storage Options

• Print messages that need to be retained and file
  in a hard copy system destroy electronic copy.
• Create topical folders for e-mail in INBOX and
  SENT ITEMS folders, so messages can be filed and
  retained in active e-mail system.
• Archive e-mail messages.
• Records Management Applications.

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Storing E-mail

• Each option has pros and cons.
• No one size fits all solution.
• DIT and management need to select the option that
  fits best.
• Problem No consistent retention of e-mail
  system contents across government agencies
• Ensure that all employees are consistently
  following procedures.

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E-mail and FOIA

• If a message still exists (in active accounts, on
  backup tapes, etc.) when a FOIA request is
  received, it must be evaluated by legal staff for
  release.
• If messages are destroyed on a regular basis, in
  accordance with approved Retention and Disposal
  Schedules, they may no longer exist when a FOIA
  request is received.

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E-mail and Litigation

• Immediately cease all destruction of relevant
  e-mail in active accounts and on backup tapes
  when litigation is imminent.
• Agencies do not want to be charged with
  destroying evidence.

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Litigation and FOIA

• Finding, reviewing and releasing e-mail can be
  time-consuming and costly.
• E-mail can be retained in a lot of places, by a
  lot of people.
• Notify all responsible parties to stop destroying
  messages once a request is received or
  anticipated.

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Employee Responsibilities

• Decide which messages to keep and destroy.
• Which records document decisions made? Support a
  transaction? Serve as evidence?
• Empty e-mail trash bins to purge deleted messages
  frequently.
• File the messages that are retained in an
  organized filing system.
• Identify which retention schedule mandates the
  messages retention or authorizes its
  destruction.

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Information Technology Responsibilities

• Define your backup processes in writing.
• Know what is backed up (dont backup trash bins).
• Purge older backup tapes on a regular basis to
  ensure that deleted e-mail messages cannot be
  recovered.
• Organize and index backup tapes so requested
  information can be located.

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Records Management Applications
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What is a Records Management Application?

• RMA software manages electronic records.
• Organizes electronic records.
• Provides centralized storage.
• Supports robust full-text search and retrieval.
• Automates retention.

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Purpose of a RMA

• Manage electronic records created by desktop
  applications (e-mail, word processed, documents,
  spreadsheets, e-presentations, digital images)
• Desktop applications are not designed for records
  management.
• Other products do not automate retention for
  electronic records.

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Importance of Automated Retention

• Individuals wont manage their records.
• Records are kept too long or too short.
• Records are destroyed without authorization.
• Historical records are not preserved.
• Records are subject to legal discovery and FOIA.
• Penalties can be levied for improper record
  retention.

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RMA Pilot Project

• Grant awarded by NHPRC
• May 1, 2000 thru September 30, 2002
• Purchased and installed software
• Implemented with 70 users
• Evaluated
• Software
• Cultural change
• Business processes

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Project Findings

• RMAs can be used to solve electronic records
  management problems
• Software needs to be invisible to the user
• Software needs to integrate with the desktop at
  the operating system level, not the software
  level
• Best product in the world is useless without top
  management support
• RM needs to continue evaluation of software

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Conclusion

• IT and Records Management must continue to
  collaborate on a combined strategy that uses the
  most appropriate delivery tools/ technology and
  at the same time, give consideration to the value
  of the information being managed.
• Best tools and technology are worthless without
  the development and adherence to policy that
  manages information

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Contact Information

• Debbie Gearhart, Director
• Records Management Services
• Michigan Historical Center
• Department of History, Arts and Libraries
• 3405 N. Martin Luther King Jr. Blvd
• Lansing, Michigan 48909
• [phone]
• Gearhartd_at_michigan.gov
• http//www.michigan.gov/recordsmanagement/