Electronic Records Electronic Records Management: A New Management: A New Understanding of Policy, Understanding of Policy, Compliance, and DiscoveryCompliance, and Discovery

Robert J. Sobie, Ph.D.

Director

Information Systems Department

Eaton County

October 2007

PurposePurposeTo improve our understanding of any

deficiencies with our current electronic records management policies and practices.

To improve our understanding of the requirements for electronic discovery of records.Federal Rules of Civil Procedure were amended

in 2006. The amendments address the treatment of electronically stored information (ESI) during discovery.

To establish a collaborative framework (i.e. committee of stakeholders) for successful design, implementation, and administration of electronic records management.

Electronic Records Retention Electronic Records Retention and Litigation (e-Discovery)and Litigation (e-Discovery)E-Discovery is the process in which

electronic data is sought, located, secured, and searched, with the intent of using it as evidence in a civil or criminal legal case. (Preimesberger, 2007)

The medium used to document official government activity is irrelevant.◦The content of the activity determines if it

is an official government transaction, action, or activity. (Anonymous, accessed on 7/24/2007: http://www.mnhs.org)

HAL’s Classification of HAL’s Classification of RecordsRecordsOfficial Records (must follow general

or agency-specific retention schedule).

Transitory Records (recommend retention for a maximum of 30 days).

Non-Records (recommend immediate destruction).

Personal Records( don’t use government assets to create them).

Managing a discovery request must begin before a request is made. Even if your agency never receives a request, preparation remains critical.

Policy, procedures, systems, staff training, and supporting plans must be collaboratively developed by a diverse group of stakeholders to adequately respond to a discovery request. (Schwarz and Wetmore, 2005)

Electronic Records Retention and Litigation (e-Discovery)

Electronic Records Mgmt Electronic Records Mgmt CommitteeCommittee

Consists of stakeholders representing the diversity of business functions that permeate the organization.

Reaffirm with all members that this is a document management, not IT, committee. Retention, accessibility, security, and destruction must not be viewed solely as a technical issue. This would undermine the importance of overall records management requirements.

Committee StructureCommittee Structure

Research and Research and ConsultationConsultationMany governments, particularly at

the local level, do not have in-house expertise to conduct research and evaluate the impact electronic records retention and litigation can have on the organization.

Need to identify appropriate resources to perform, or assist with, suitable research and review of statutory mandates and case law.

Inventory Records Mgmt Inventory Records Mgmt AssetsAssetsDo we know:

◦What technologies we have?◦Who is using them?◦How and where records are stored?◦On what media records are store?

◦ A pre-discovery meeting must identify storage assets and ability to restore files for discovery (Semsroth v Wichita, 2006).

Critical IT assets (servers, hosts, SANs) are known, but with the proliferation of peripheral storage devices, compliance with retention/destruction/hold policies is anything but certain.

Electronic Records Electronic Records Management Strategic PlanManagement Strategic Plan

Define goals.Define action steps to achieve each

goal.Define timelines suitable for each

action step.Include an evaluation requirement

to inform stakeholders of compliance progress and allow appropriate plan revision when necessary.

Formalize Electronic Records Formalize Electronic Records PolicyPolicyA “new” formalized policy of records

management must be the first action item described and acted upon, in the strategic plan.◦A draft, based on a HAL template and

current county policy is pending.Submit appropriate resolution and seek

approval (i.e. board, council, etc.).Disseminate the policy to departments,

divisions, branches of government and their respective employees.◦Provide suitable training to inform staff.

A Process of EvaluationA Process of EvaluationHow do you know if your electronic

records management strategic plan is effective?

Evaluate it!◦Using previously defined metrics.

You can use sampling strategies to search for actual records based on government transactions and actions. Annually target pre-determined transactions (i.e. budget discussions, IT purchases, etc.).

Periodic surveys and interviews. Include training within the new employee orientation program administered by the Personnel Office.

Mock e-DiscoveryMock e-DiscoveryTest the county’s readiness for e-

discovery.Predetermined:

◦Parties◦Theme: Internal Promotion◦Disclaimer/Authorization◦Keywords or phrases