ELECTRONIC RECORDS MANAGEMENT
Laws, Standards, and Best Practices
Joseph D. Chin, Jr. State of Michigan
Director, Strategic Initiatives & Records Management Services
MAMC 14th Annual Conference June 20, 2013
What do we mean by electronic records?
Scanned Paper Documents
Born Electronic
Shared Drive Content
Electronically submitted information
Electronic Records Include digital images, e-mail, databases, word
processed documents, spreadsheets, CAD, GIS, web pages, etc.
Dependent upon specific hardware and software to be accessed and used
Original technology used to create electronic records will eventually be obsolete
Need to work with information technology staff to develop preservation plans for retaining electronic records long-term (more than 10 years)
Records Exist in Many Formats
The medium used to document an official
government activity is irrelevant
The content of the record determines if it is
evidence of an official government transaction,
action, or activity
Records can be stored as paper, photographs,
maps, drawings, microfilm, databases, digital
images, spreadsheets, e-mail, tweets, etc.
Records Reproduction Act
MCL 24.401 - 24.406
Authorizes the reproduction of public records by
Michigan government agencies at all levels
Requires that certain technical standards be
promulgated to regulate quality Microfilm
Digital imaging
Digital migration
Imaging and Microfilming Standards Reproductions cannot be used as official records if
they were not created according to SOM standards
Standards were promulgated August 2005: Conversion of Paper or Microfilm to Digital Images
Conversion of Paper to Microfilm
Conversion of Digital Images to Microfilm
“Best Practice” documents explain how and why
these technologies should be used
State of Michigan Standards
Regardless of the format, records must be
authentic, reliable, have integrity, and be
usable and accessible
Standards and best practice documents
available at
www.michigan.gov/recordsmanagement
Digital Imaging Standard Format
Any Lossless Compression
Prefer TIFF
PDF Concerns
Sample for quality
Resolution
200 – 300 DPI
Written Procedures
Media
Public Records
The Michigan Freedom of Information Act
(FOIA) (Public Act 442 of 1976, as
amended), 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.”
Freedom of Information Act (FOIA) FOIA allows the public to request copies of government records
Some records are exempt from disclosure
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 Agency will not be penalized for not releasing the record
Open Meetings Act
A quorum of members of public bodies (as defined
by FOIA) cannot use e-mail or social media sites to
deliberate issues outside of a public meeting
The e-mail and social media accounts of members
of public bodies (elected or appointed) can be
eligible for release in accordance with FOIA and
can be used as evidence in litigation
Michigan Historical Commission
Act (MCL 399.5)
Section 5 of the Michigan Historical Commission Act (MCL 399.5) identifies
local government agencies, indicating that those agencies must work with
the State Archives of Michigan to protect and preserve local public records.
This law expressly applies to counties, multi-county agencies, schools,
municipal agencies, and includes local departments, boards, commissions,
and institutions. The law also applies to local public officers engaged in the
discharge of legally imposed responsibilities.
Public records as public property.
Two laws provide that local government records belong to the people of Michigan.
A. Section 491 of the Michigan Penal Code (MCL 750.491) declares that all official
books, papers, and records created by (or received in) any office or agency of the
political subdivisions of the state of Michigan are considered public property, belonging
to the people of the state.
B.Section 5 of the Michigan Historical Commission Act (MCL 399.5) provides that all
records required to be kept by local public officers in the discharge of their duties,
records required to be filed in local public offices, and records which represent
memorials of transactions of local public officers, are considered to be property of this
state.
Penalty for removal, mutilation, or destruction
of public records.
Section 491 of the Penal Code (MCL 750.491) declares the improper disposal of local
government records to be a crime. This law states as follows: “Any person who shall
willfully carry away, mutilate or destroy any of such books, papers, records or any part of
the same, and any person who shall retain and continue to hold the possession of any
books, papers, or records, or parts thereof, belonging to the aforesaid offices and shall
refuse to deliver up such books, papers, records, or parts thereof to the proper officer
having charge of the office to which such books, papers, or records belong, upon
demand being made by such officer, or, in cases of a defunct office, the Michigan
historical commission, shall be guilty of a misdemeanor, punishable by imprisonment in
the state prison not more than 2 years or by a fine of not more than $1,000.00.”
Litigation During litigation parties can request copies of records they consider to
be relevant evidence to the case Some records that are exempt from disclosure under FOIA and other laws
could be admitted as evidence
Immediately cease all destruction of relevant e-mail in active accounts
and on backup tapes when litigation is imminent Government agencies do not want to be charged with destroying evidence
Court rules address the role of electronically stored information as
evidence in federal courts Amendments to the Federal Rules of Civil Procedure went into effect on
December 1, 2006
Amendments to the Michigan Court Rules for Civil Procedure went into
effect on January 1, 2009
e-Discovery
Discovery is the process in which records are
sought, located, secured, and searched with the
intent of using them as evidence in a civil or
criminal legal case
E-Discovery is the process for addressing the unique
issues associated with using electronically stored
information (ESI) as evidence
Court Rules
Federal Rules of Civil Procedure Amended December 1, 2006
Michigan Court Rules for Civil Procedure Amended January 1, 2009
Address the role of electronically stored
information (ESI) as evidence in court proceedings.
Electronically Stored Information It’s about more than e-mail
Desktop e-records (unstructured data)
Databases, GIS, CAD (structured data)
Data management tools (logs) that track activity
Processes for creating, accessing, editing,
destroying ESI
Backup tapes are often a target in discovery
Deleted files
Random Access Memory (RAM)
Challenges
Volume of ESI is steadily increasing
Users control most aspects of the lifecycle
Duplication
Disorganization
Lack of acceptable use/etiquette controls
Technology obsolescence
Lack of security
Lack of awareness/consequences
E-mail was invented in October 1971 Technology to support sending electronic messages
between computers in different locations
E-mail use increased steadily over the past 20 years,
and the trend will continue
Today, most employees cannot function effectively
at work without e-mail
Over 40 Years Worth of E-mail
Quiz: True or False?
Q. My information technology department automatically deletes all e-mail in the system after 90 days, so I am not responsible for keeping e-mail beyond that period of time.
A. FALSE: We don’t keep all paper records for only 90 days. If an e-mail message is related to a contract, we need to keep it as long as all other contract records. If the message is related to a personnel issue, we need to keep it as long as all other personnel records.
Q. I am the only person who can see the messages in
my government e-mail account. It is private.
A. FALSE: Information technology staff and
management may choose to monitor the activity
in your e-mail account. In addition, the messages
may become the subject of a FOIA request or
litigation. If this happens, legal staff may review
your e-mail messages to find evidence.
Q. If I am one of 50 people who receive a message,
and I do not have to fulfill an assignment as a
result of that message, then I can destroy it.
A. TRUE: The sender should retain the message, as
well as any employees who are assigned a task as
a result of the message.
Q. It is best to save all e-mail messages that I send
and receive, in case I need to prove I did
something.
A. FALSE: It is best to destroy e-mail messages that
have fulfilled their retention period so they do
not waste space on the computer system. Also,
these messages could become a liability if a FOIA
request or litigation discovery request is
received.
What is the Retention Period for E-mail? There is no single retention period for all e-mail, just like
there is no single retention period for all paper.
E-mail is a format that a record is stored in.
Retention is based upon the content of the message, and the
business process it supports.
If an e-mail message is related to a contract, it needs to be
kept as long as all other contract records. If the message is
related to a personnel issue, it needs to be kept as long as
all other personnel records.
E-mail Liabilities In recent years, public officials and government employees
have been caught using electronic messaging systems
inappropriately, saying things they did not want to be
public knowledge, or destroying electronic records
illegally.
Some have lost their jobs
Some have had to pay hefty fines
Some have gone to jail
Policies
RMS published a model e-mail retention policy
(fill-in-the-blank) on our website Defines status of e-mail as records
Responsibilities
Storage options
You are Effectively Managing Your E-mail If… Messages that are still in your e-mail account (inbox
and sent mail): Have not been read yet, or
Are related to tasks awaiting further action
Messages that are official records are filed in with
other records that document the business process,
either electronically or in paper form
Messages that are not official records are deleted
Tips for Reducing Account Size
Keep it Clean: Make retention decisions right away; upon receiving or sending a message
The longer you wait to clean out messages, the harder it will be to remember which messages are important
Message Strings: Retain only the last message in the conversation, if it includes the content of all the previous messages
If an earlier message has an attachment not included in a later message, it probably needs to be retained in addition
Calendars: Retain appointments for 2 years Trash: Empty deleted items daily
E-mail Storage
E-mail software is not intended/designed to be a
records storage/retention tool
Some government employees are permitted to use
the e-mail system for recordkeeping
Some government employees must store messages
outside of the e-mail system for recordkeeping
Messages should be stored with the other records
for the business process
E-mail Storage Options Print and file messages in a hard copy system –
destroy electronic copy Permitted as long as there is no active FOIA or
litigation activity
Save the messages on a network drive
Move messages to the e-mail system’s archive
File messages in a Document Management
System’s repository
E-mail archiving software
Other Communications Tools
Instant/Text Messages, Voice Mail, Blogs, Social Media sites, RSS Feeds,
etc. Same records management principles apply:
If the communication is recorded it is a record
Status about the communication as a public record depends up on the content
Who should retain it depends upon responsibilities of sender/receiver
Records supporting the same business process need to be stored together on
media that will keep them accessible and usable for the entire retention period
Records can be a liability or an asset
Content created and stored on government resources is not private
Resources not owned and managed by government could contain public records,
and these records may become the subject of FOIA requests and litigation
Records Management is Risk Management
Understand the risk of loss--loss is not just
inadvertent destruction… Disaster (fire, flood, etc)
Intentional and illegal destruction or alteration
Security breech (theft, misuse or fraud)
System backup process failed
Human error
Technology obsolescence Deterioration
Common Misconceptions
Electronic storage is cheap
Imaging is the best solution
CDs will last for 50 years or more
Microfilm is an obsolete technology
Paper storage is expensive
Paperless is better
+
30% of records need to be retained but are not retrieved
regularly, and should be moved off-site to
low-cost storage
Step 1: Records Situation Analysis
• Match records to Retention and Disposal Schedules
• Identify records not covered by a schedule
Step 3: Evaluate Storage Options for
Remaining Records
Office Filing
System (paper)
Active Electronic
System
(read/write)
Microfilm System
Inactive Electronic
System
(read only)
If you answered “Yes”: = preferred = acceptable = not recommended
Are records retrieved frequently
shortly after creation?
Are records retrieved frequently over
their entire retention period?
Are records used by multiple people
or used at multiple sites?
Are copies often sent to people
outside the office (including FOIA)?
Does retrieval need to be
immediate?
Are records created or received
electronically?
Do the records have a retention
period greater than 50 years?
Are records modified after
creation/filing?
Step 3: Evaluate Storage Options for
Remaining Records
Recordkeeping Solutions Define your problem
Define your current processes
Identify all potential solutions Destroy unnecessary records
Improve indexing/access tools or security
Reduce record retention period
Eliminate unnecessary or redundant processes/records
Off-site storage
Microfilm
Electronic forms (e-commerce)
Document imaging
Analyze/compare the costs of the solutions
Digital Imaging Digital imaging is not new
Foundations in Fax technology
First Fax Patent in 1843
Fax (and digital imaging) became common place
in the early to
mid 1970s
Early vs. Current Imaging
Early Imaging Systems
• Scanners unreliable and created poor images
• Not enough computing power
• Limited storage solutions
• Limited network speeds
• Weak security
• Underpowered, unreliable, unforgiving and uncontrolled
• Failure rate exceeded 50%
Current Imaging Systems
• More reliable scanners produce accurate representations of the original
• More powerful computers
• More efficient network speeds
• Improved security
• Capture standards
• Legally accepted as a storage, retrieval and distribution technology
Pre-Implementation Considerations
•Often under estimated Preparation
•Selecting hardware/software to meet application needs Scanning
•Index attributes and how that information will be gathered Indexing
•Verify and correct Quality Control
•Test and measure the results Quality Assurance
•Where/how/when Storage
•Getting the image out Disposition
Scanning Procedures
Format – recommended TIFF or TIFF-wrapped PDF
Resolution – recommended 200-300 DPI
Color – recommended black and white
Color – procedure for special documents that
require color
Dimensional aspects of original documents
Single-side or duplex
Optical Character Recognition (OCR)
Scanning Model Options
Centralized
• Central logistic location
• Post-process
• At the mailroom
• Advantages
• Highly Controlled
• Consistent Quality
• Disadvantages
• Capturing too much
• Routing/transporting paper
Decentralized
• Multiple Scan Centers
• Advantages
• Somewhat controlled
• Consistent Quality
• Eliminates transportation
• Disadvantages
• Expenses
• Changes over time
Task Oriented
• At the desktop
• Advantages
• Immediate capture
• Enable workflow
• Avoid filing/routing
• Disadvantages
• Little control
• Inconsistent quality
• Expenses
Scanning Process Options
Pre-Process
• Advantages
• Able to leverage system for entire process
• Disadvantages
• Does not work well with view only systems
• Scanning process may delay information availability
• Additional change management for process staff
Post-Process
• Advantages
• Less change management
• Disadvantages
• Not able to fully leverage system
• Managing two systems, paper and electronic
• Greater potential for misplaced documents
Quality Considerations
• Completed at the scanner
Quality Control
• Completed after conversion, usually by the end user
Quality Assurance
Disposition How long to keep paper
after scanned?
How will paper be
disposed of?
How long to keep
scanned images?
Retention Schedules
Triggers
Outside Vendors
Documentation Standard Operating Procedures
Document Preparation
Scanning Processes
Indexing Methods
Quality Control
Quality Assurance
Disposition
Contact
Migration Exit strategy
Necessary for all systems
Needs to be addressed in the
planning stage
Additional Considerations
Technical expertise
Migration software
Hardware
Risk of information loss
Vendors
Common Threads
Records must…regardless of the format Be authentic Be reliable Have integrity Be usable and accessible
Agency is responsible for the proper management of records and information for the life of the retention schedule
Records Management Services is responsible for providing guidance/direction about compliance
Information Technology Responsibilities Maintaining a full and accurate inventory of resources that are
used Documenting backup procedures in writing Ensuring a complete and successful backup of data and records Purging backup tapes on a regular basis to ensure that deleted e-
mail messages and other electronic records cannot be recovered Restoring data and records from backup tapes Working with attorneys to protect e-mail messages that are
needed as evidence It may be difficult to fulfill these responsibilities if you use a
private service provider (such as G-mail, Twitter, Facebook, etc.), since you do not have physical custody of the records and do not control their disposition
Micrographics
Benefits Reduce space requirements (~ 98%) Ease of duplication and distribution Preserve information (long-term stability) Minimal system dependence Security/protection (working and security copies) Integrity of records Improve filing and retrieval activity Eliminate misfiles ($125 per incident)
When to use Microfilm
Records
Static
Voluminous
Long retention period
Low retrieval activity
Centralized access is sufficient
CD Rot (Wikipedia) CD rot (or DVD rot) is a common phrase describing
the tendency of CD or DVD discs to become
unreadable within a few years of manufacture. The
causes of this effect vary from oxidation of the data
carrying layer to ultra-violet light damage and
debonding of the adhesive used to stick the layers of
the disc together. Since much use is made of CDs and
DVDs as backup media, the potential impact of data loss is great.
Document Imaging Benefits
Reduce space requirements (~ 50,000 pages fit on
a disk)
Indexing and cross-reference
High speed retrieval
Sharing documents across a network or the
internet
Easily integrated with document management
systems, databases and other tools
When to use Document Imaging Records
Static and dynamic
Voluminous
High retrieval activity
De-centralized access from multiple
locations
Simultaneous multi-user access
Microfilm/Imaging
Digital images satisfy the need for short-term high-
volume retrieval
Microfilm satisfies the need for reduced storage
and long-term accessibility, while avoiding digital
migration costs
Imaging Contract
The Records Management Services administers the State of Michigan's master contract for imaging services. Both state and local government agencies can use these services. The Records Management Services works with the vendor to ensure that agencies receive a quality product at a fair price. Agencies that use this contract will receive consulting services from the Records Management Services to ensure that a quality product is created. These consulting services include:
• Analyzing the records to determine if microfilming meets the agency's needs.
• Analyzing the business process to determine when in the record lifecycle the microfilming should take place.
• Assisting the agency with cost-justifying the need for the imaging application.
• Developing a Statement of Work that is signed by the agency and the vendor to ensure that a quality product is created.
Microfilming Contract
The Records Management Services administers the State of Michigan's master contract for microfilming services. This contract is available to all state and local government agencies. Agencies that use this contract will receive consulting services from the Records Management Services to ensure that a quality product is created. These consulting services include: • Analyzing the records to determine if microfilming meets the agency's needs.
• Analyzing the business process to determine when in the record lifecycle the microfilming
should take place.
• Assisting the agency with cost-justifying the need for the microfilm application.
• Developing a Statement of Work that is signed by the agency and the vendor to ensure that a quality product is created.
Additional Benefits Contracts were competitively bid (government
agencies do not need to re-bid to procure the services)
Billing is handled by SOM SOM monitors vendor compliance and resolves
issues SOM expertise and experience SOM develops the SOW to help agencies get the
services they need, instead of the services the vendor wants to sell
Peace of mind
• Identify paper-intense processes to transform using
electronic document management providing cost savings
and improve citizen services
• State agencies and citizens would benefit from a more
streamlined and efficient process improving the
timeframe to deliver services more quickly. Cost
reduction including storage of paper records. Reliable
solution for e-discovery cases.
DTMB Strategy Alignment
Existing: Expand and maximize shared services opportunities
Targeted: Assess the need and facilitate the development of
state and local business shared solutions
Outreach and Engagement: Participate in strategic
partnerships to share and increase the use of best practices
TRIM & THE CLOUD (Future Initiative)
• HP TRIM (Total Records and Information Management) is a scalable enterprise
document and records management solution that simplifies the capture,
management, security, and access to your information in business context. It enables
your business to easily comply with regulations and policies, and helps you secure
information from inappropriate access and misuse. TRIM has the capability of
managing all records, from point of creation to final disposition, regardless of format.
• Local units of government will be able to initiate a records management electronic
solution without the cost of bidding, infrastructure costs, implementation costs for a
flat fee.
• Web facing for public access to records deemed “public” by the government entity for
FOIA. (http://rim.metro-region.org/- Portland, Oregon)
• Currently State Agencies pay a one time fee of $400 per seat and $30 a month
maintenance. No additional costs for implementation or infrastructure. $8 per gb per
month for storage. (1 GB = approximately 30-45 thousand pages)
HP TRIM
Total Records and Information Management
A centralized repository for managing all SOM records, from the point of creation to final disposition, regardless of format
Developed to provide robust document management functionality for state agencies
Administered at the program level
Low total cost of ownership
HP TRIM Functionality
Document Management
• Check-out/ Check-in
• Revision Control
• Robust Searching
• Secure Access to Records
Electronic Image Management
• Bulk Image Import
• Redaction
Workflow
• Routing • Task
Assignment • Time
Management • Workload
Management
Records Management
• Business Process Ownership of Records
• Audit Trails • Compliance
with Retention and Disposal Schedules
Records Storage Contract
• Provides records storage for the following counties:
• Wayne, Macomb, Oakland and Genesee
• Contact RMS if interested in utilizing
Web based software
Intuitive user interface
Basic functionality and features
Simple administration and security
Content centrally uploaded and managed
IRMA
What is IRMA?
Image Repository for Michigan Agencies
Developed to provide simple image storage and retrieval functionality for state agencies
A digital records center for active and inactive records
Low total cost of ownership
IRMA Basic Model
Records are submitted to the state’s imaging
vendor for scanning
Vendor provides images and indexes to RMS
RMS imports images into IRMA and notifies agency
Agency has access to images via intra-net
IRMA Service Fees
• $150 Per Yr. per GB
• 1 GB = approximately 30-45 thousand pages -or- approximately 15 record center boxes
Monthly per GB
Sources for More Information
Sedona Conference http://www.thesedonaconference.org/
Publications Commentary on Legal Holds: The Trigger and The Process
Best Practice Recommendations and Principles for Addressing
Electronic Document Production
Best Practice Guidelines and Commentary for Managing
Information and Records in the Electronic Age
Commentary on ESI Evidence and Admissibility
Best Practices for the Selection of Electronic Discovery Vendors
We can help!
Records Management Services
3400 N. Grand River Ave.
Lansing, Michigan 48909
(517) 335-9132
http://www.michigan.gov/recordsmanagement/
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