CHRISTINA MILLER, CA OFFICE OF THE SECRETARY OF STATE RECORDS SERVICES DIVISION RECORDS MANAGEMENT eDiscovery and Electronic Records Management

Why manage records? Records are created for business and legal reasons. Records management is about ensuring : Government can conduct business efficiently Supporting management decision making Providing protection from disaster Meeting legislative and regulatory requirements Providing protection and support in litigation Maintaining positive public relations with customers Maintaining organizational memory

Public and Business Records, RSMo 109 RSMo (5) defines a records as a “document, book, paper, photograph, map, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.

Public and Business Records, RSMo 109 Records Services Division’s [selected] RM duties under RSMo : (1) Establish standards, procedures, and techniques for effective management of records; (2) Make continuing surveys of paperwork operations and recommend improvements in current records management practices… (3) … establish standards for the preparation of schedules which provide for the retention of state or local records of continuing value and for the prompt and orderly disposal of state or local records … (6) Establish standards and formulate procedures for the transfer, safeguarding and servicing of records;

Retention Schedules Only way to have permission to destroy state records  The General Retention Schedule (GRS)  Covers the common types of records  Agency Specific Retention Schedules  For any special exceptions or program-specific types of records

What records belong to IT? IT creates records on maintaining systems (licenses, backup tapes, etc), project files, etc. Records from the data in the systems belong to the agency/record creator  Retention requirements will be on the agency schedule  IT should strive to not impede  disposition of records according to official retention policies  management of electronic records with the same diligence as paper versions

Trustworthy Systems – electronic records added step Authenticity –  Who created the record?  Is it what it purports to be?  Was it created or sent when it appears to be? Integrity – have records been altered? Reliability – is the record complete? Confidentiality – can access be restricted? Minnesota Trustworthy Information Systems: ISO 15801: Recommendations for trustworthy and reliability Goal is to maintain complete and accurate records  One official record, one record owner, one system of record

Electronic Records Standards  ISO – Records Management  DOD – Electronic Records Management Software Applications Design Criteria Standard  ISO – Records Management Metadata Standard Must define, based on standards, policies and procedures for:  Creation  Retention  Destruction  Preservation  Metadata/taxonomy

Destruction or Preservation Real Problem with Destruction  Things are NOT being destroyed  Keep everything mentality because space is cheap  Causes liability problems  ESI more difficult to purge according to retention policy Preservation concerns  Obsolescence  Need to migrate long term records  Don’t need to migrate records that are ready for destruction

Resources – Tools National Archives Toolkit for Managing Electronic Records  National Archives of Australia - Designing and Implementing Recordkeeping Systems (DIRKS)  Missouri Records Management Resource page  Smithsonian Institute - The Collaborative Electronic Records Project (CERP)  Sedona Conference 

Resources – Standards/Organizations 11 AIIM—Assoc. for Information and Image Management  ANSI—American National Standards Institute  ARMA International—Assoc. for Information Management Professionals  ISO — International Standardization Organization  NAGARA—National Assoc. of Government Archives and Records Administrators  SOS Records Management list of Standards 

Contact Information Christina Miller, CA Electronic Records Archivist (573)