1. ELECTRONICS RECORDS RETENTION AND LITIGATION Presented by Cyntia N. Zerkowski Director, Information Technology Macomb County Michigan Digital Government Summit October 4, 2007 ELECTRONICS RECORDS RETENTION AND LITIGATION

2. Michigan Digital Government Summit2 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT  RETENTION  BACKUP  ARCHIVAL ELECTRONICS RECORDS RETENTION AND LITIGATION

3. Michigan Digital Government Summit3 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT  RETENTION How long data is kept (online) How long data is kept (online)  BACKUP Restoration in event of failure or outage Restoration in event of failure or outage  ARCHIVAL Information not used Information not used Required to be retained usually regulatory Required to be retained usually regulatory Specified by department Specified by department ELECTRONICS RECORDS RETENTION AND LITIGATION

4. Michigan Digital Government Summit4 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT  ARCHIVAL METHODS Near-line Near-line Offline Offline Paper Paper Microfiche Microfiche ELECTRONICS RECORDS RETENTION AND LITIGATION

5. Michigan Digital Government Summit5 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT RETENTION POLICIES  SPECIFIC POLICES EXIST Email retention – 2 months Email retention – 2 months Internet log – 6 months Internet log – 6 months  VARIED RETENTION PERIODS  MOVE TO UNIFORM RETENTION POLICY FOR IT ADMINISTRATIVE SYSTEMS ELECTRONICS RECORDS RETENTION AND LITIGATION

6. Michigan Digital Government Summit6 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT TECHNOLOGY INVESTMENT  AUTOMATE  MOVE TO STORAGE AREA NETWORK  REDUCE TECHNICAL EMPLOYEE TIME ON REPETITIVE ROTE TASKS ELECTRONICS RECORDS RETENTION AND LITIGATION

7. Michigan Digital Government Summit7 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT CORE PARTICIPATION  HUMAN RESOURCES  LEGAL COUNSEL  INFORMATION TECHNOLOGY DEPARTMENT PARTICIPATION  EACH DEPARTMENT  BY APPLICATION  DATA RETENTION CONFIRMATION FORM SIGNOFF ELECTRONICS RECORDS RETENTION AND LITIGATION

8. Michigan Digital Government Summit8 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT EDUCATION  NEW EMPLOYEE ORIENTATION  SUPERVISOR TRAINING ELECTRONICS RECORDS RETENTION AND LITIGATION

9. Michigan Digital Government Summit9 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT IT PROCESS FOR FOIA  CORPORATION COUNSEL IS FOIA COORDINATOR  I.T. RECEIVES REQUEST FOR INFORMATION AVAILABILITY Cost to produce Cost to produce  AVAILABILITY BASED ON RETENTION PERIODS ELECTRONICS RECORDS RETENTION AND LITIGATION

10. Michigan Digital Government Summit10 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT IT PROCESS FOR e-DISCOVERY  CORPORATION COUNSEL IS COORDINATOR  WHAT TO HOLD?  WHO TO NOTIFY? ELECTRONICS RECORDS RETENTION AND LITIGATION

11. Michigan Digital Government Summit11 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT IT PROCESS FOR e-DISCOVERY  WHAT TO HOLD? Once a “litigation hold” notice is received, retention periods are no long applicable – must retain information beyond the retention period policy. ELECTRONICS RECORDS RETENTION AND LITIGATION

12. Michigan Digital Government Summit12 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT IT PROCESS FOR e-DISCOVERY  WHAT TO HOLD? SOURCES OF ELECTRONIC INFORMATION Servers/SANS * phone / VOIP logs Servers/SANS * phone / VOIP logs PCs / laptops *firewall logs PCs / laptops *firewall logs Backups – full & incremental *SPAM filter logs Backups – full & incremental *SPAM filter logs Emails *flash memory Emails *flash memory Email backups *IM Email backups *IM Archival data – offline/offsite *home computers Archival data – offline/offsite *home computers Voice mail *thumb drives Voice mail *thumb drives Voice mail backup *PDA’s Voice mail backup *PDA’s ELECTRONICS RECORDS RETENTION AND LITIGATION

13. Michigan Digital Government Summit13 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT IT PROCESS FOR e-DISCOVERY  WHO TO NOTIFY? Operations Staff Operations Staff System/Network Administrator System/Network Administrator Management Team Management Team Supply “orderer” Supply “orderer” ELECTRONICS RECORDS RETENTION AND LITIGATION

14. Michigan Digital Government Summit14 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT IT BEST PRACTICES  CREATE “DIRT”: Discovery Discovery Incident Incident Response Response Team Team  DATA SURVEY  DATA REVIEW  DATA EXTRACTION  WORK CLOSE WITH CORPORATION COUNSEL ELECTRONICS RECORDS RETENTION AND LITIGATION

15. Michigan Digital Government Summit15 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT PREPARTORY BEST PRACTICES  ESTABLISH/ ADOPT A RETENTION POLICY  AUTOMATE AS MUCH AS POSSIBLE (reduces wasted employee time) BACKUP = REBUILD = $$$ BACKUP = REBUILD = $$$ ARCHIVAL = SELECTIVE RETRIEVAL ARCHIVAL = SELECTIVE RETRIEVAL  ORGANIZE DATA FOR EXTRACTION By user By user By type By type By date By date ELECTRONICS RECORDS RETENTION AND LITIGATION

16. Michigan Digital Government Summit16 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT PREPATORY BEST PRACTICES (CONT.)  EMAIL ETIQUETTE POLICY  REDUCE / ELIMINATE SECONDARY DATA SOURCES File sharingFile sharing Thin clientThin client  VISIT SOM HAL WEBSITE ELECTRONICS RECORDS RETENTION AND LITIGATION

17. Michigan Digital Government Summit17 October 4, 2007 ELECTRONIC RETENTION MANAGEMENT CONSEQUENCES OF POOR PLANNING  ADVERSE DECISIONS BASED ON PRESUMPTION OF FACTS IN FAVOR OF OPPOSING PARTY MORGAN STANLEY MORGAN STANLEY UBS UBS ELECTRONICS RECORDS RETENTION AND LITIGATION