christina miller, ca office of the secretary of state records services division records management...
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C H R I S T I N A M I L L E R , C A
O F F I C E O F T H E S E C R E TA R Y O F S TAT E R E C O R D S S E R V I C E S D I V I S I O N
R E C O R D S M A N A G E M E N T
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 efficientlySupporting management decision makingProviding protection from disasterMeeting legislative and regulatory requirementsProviding protection and support in litigationMaintaining positive public relations with customersMaintaining organizational memory
Public and Business Records, RSMo 109
RSMo. 109.210(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. 109.230:
(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:
http://www.mnhs.org/preserve/records/tis/tis.html ISO 15801: Recommendations for trustworthy and reliability http://www.iso.org
Goal is to maintain complete and accurate records One official record, one record owner, one system of record
Electronic Records
Standards ISO 15489 – Records Management DOD 5015.2 – Electronic Records Management Software Applications
Design Criteria Standard ISO 23081 – 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 http://www.archives.gov/records-mgmt/toolkit/
National Archives of Australia - Designing and Implementing Recordkeeping Systems (DIRKS) http://www.naa.gov.au/records-management/publications/DIRKS-manual.
aspx
Missouri Records Management Resource page http://www.sos.mo.gov/records/recmgmt/resources.asp
Smithsonian Institute - The Collaborative Electronic Records Project (CERP) http://www.siarchives.si.edu/cerp/
Sedona Conference http://www.thesedonaconference.org/
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Resources – Standards/Organizations11
AIIM—Assoc. for Information and Image Management www.aiim.org
ANSI—American National Standards Institute www.ansi.org
ARMA International—Assoc. for Information Management Professionals www.arma.org
ISO — International Standardization Organization www.iso.org
NAGARA—National Assoc. of Government Archives and Records Administrators www.nagara.org
SOS Records Management list of Standards http://www.sos.mo.gov/records/mereti/resources.asp?nid=standards
