Electronic Records Management and Retention

2. Electronic Records Management and Retention by Debbie Gearhart, CRM, FAI, Director Records Management Services Dept. of History, Arts & Libraries

3. Overview • Michigan’s Records Management Services • Retention and Disposal Schedules • E-mail Retention • Records Management Application Project

4. 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.

5. 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

6. 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

7. 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.”

8. 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

9. 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

10. 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

11. E-mail Retention

12. 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.

13. 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?

14. Examples of Retention Periods • Contracts are kept for 6 years after they expire. • General Correspondence is retained 2 years. • State Gov’t. 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.

15. 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

16. 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.

17. 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.

18. 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.

19. 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.

20. 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.

21. 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 message’s retention or authorizes its destruction.

22. Information Technology Responsibilities • Define your backup processes in writing. • Know what is backed up (don’t 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.

23. Records Management Applications

24. 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.

25. 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.

26. Importance of Automated Retention • Individuals won’t 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.

27. 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

28. 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

29. 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…

30. 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 (517) 335-9145 Gearhartd@michigan.gov http://www.michigan.gov/recordsmanagement/