electronics records retention and litigation presented by cyntia n. zerkowski director, information...

ELECTRONICS RECORDS RETENTION AND LITIGATION

Presented by

Cyntia N. Zerkowski

Director, Information Technology

Macomb County

Michigan Digital Government Summit

October 4, 2007


Michigan Digital Government SummitMichigan Digital Government Summit 22 October 4, 2007October 4, 2007

ELECTRONIC RETENTION MANAGEMENTELECTRONIC RETENTION MANAGEMENT

RETENTIONRETENTION

BACKUPBACKUP

ARCHIVALARCHIVAL




RETENTIONRETENTION How long data is kept (online)How long data is kept (online)

BACKUPBACKUP Restoration in event of failure or outageRestoration in event of failure or outage

ARCHIVALARCHIVAL Information not usedInformation not used Required to be retained usually regulatoryRequired to be retained usually regulatory Specified by departmentSpecified by department




ARCHIVAL METHODSARCHIVAL METHODS

Near-lineNear-line

OfflineOffline• PaperPaper• MicroficheMicrofiche




RETENTION POLICIESRETENTION POLICIES

SPECIFIC POLICES EXISTSPECIFIC POLICES EXIST Email retention – 2 monthsEmail retention – 2 months Internet log – 6 monthsInternet log – 6 months

VARIED RETENTION PERIODSVARIED RETENTION PERIODS

MOVE TO UNIFORM RETENTION POLICY FOR IT MOVE TO UNIFORM RETENTION POLICY FOR IT ADMINISTRATIVE SYSTEMSADMINISTRATIVE SYSTEMS




TECHNOLOGY INVESTMENTTECHNOLOGY INVESTMENT

AUTOMATEAUTOMATE

MOVE TO STORAGE AREA NETWORKMOVE TO STORAGE AREA NETWORK

REDUCE TECHNICAL EMPLOYEE TIME ON REDUCE TECHNICAL EMPLOYEE TIME ON REPETITIVE ROTE TASKSREPETITIVE ROTE TASKS




CORE PARTICIPATIONCORE PARTICIPATION HUMAN RESOURCESHUMAN RESOURCES LEGAL COUNSELLEGAL COUNSEL INFORMATION TECHNOLOGYINFORMATION TECHNOLOGY

DEPARTMENT PARTICIPATIONDEPARTMENT PARTICIPATION EACH DEPARTMENT EACH DEPARTMENT BY APPLICATIONBY APPLICATION DATA RETENTION CONFIRMATION FORM SIGNOFFDATA RETENTION CONFIRMATION FORM SIGNOFF




EDUCATIONEDUCATION

NEW EMPLOYEE ORIENTATIONNEW EMPLOYEE ORIENTATION

SUPERVISOR TRAININGSUPERVISOR TRAINING




IT PROCESS FOR FOIAIT PROCESS FOR FOIA

CORPORATION COUNSEL IS FOIA COORDINATORCORPORATION COUNSEL IS FOIA COORDINATOR

I.T. RECEIVES REQUEST FOR INFORMATION I.T. RECEIVES REQUEST FOR INFORMATION AVAILABILITYAVAILABILITY

Cost to produceCost to produce

AVAILABILITY BASED ON RETENTION PERIODSAVAILABILITY BASED ON RETENTION PERIODS




IT PROCESS FOR e-DISCOVERYIT PROCESS FOR e-DISCOVERY

CORPORATION COUNSEL IS COORDINATORCORPORATION COUNSEL IS COORDINATOR

WHAT TO HOLD?WHAT TO HOLD?

WHO TO NOTIFY?WHO TO NOTIFY?





WHAT TO HOLD?WHAT TO HOLD?

Once a “litigation hold” notice is received, retention Once a “litigation hold” notice is received, retention periods are no long applicable – must retain periods are no long applicable – must retain information information beyondbeyond the retention period policy. the retention period policy.




IT PROCESS FOR e-DISCOVERYIT PROCESS FOR e-DISCOVERY WHAT TO HOLD?WHAT TO HOLD?

SOURCES OF ELECTRONIC INFORMATIONSOURCES OF ELECTRONIC INFORMATION• Servers/SANSServers/SANS * * phone / VOIP logsphone / VOIP logs• PCs / laptopsPCs / laptops * * firewall logsfirewall logs• Backups – full & incremental *Backups – full & incremental * SPAM filter logsSPAM filter logs• EmailsEmails * * flash memoryflash memory• Email backupsEmail backups * * IMIM• Archival data – offline/offsite *Archival data – offline/offsite * home computershome computers• Voice mailVoice mail * * thumb drivesthumb drives• Voice mail backupVoice mail backup * * PDA’sPDA’s





WHO TO NOTIFY?WHO TO NOTIFY?

Operations StaffOperations Staff

System/Network AdministratorSystem/Network Administrator

Management TeamManagement Team

Supply “orderer”Supply “orderer”




IT BEST PRACTICESIT BEST PRACTICES CREATE “CREATE “DIRTDIRT”:”:

DDiscoveryiscovery IIncidentncident RResponseesponse TTeameam

DATA SURVEYDATA SURVEY DATA REVIEWDATA REVIEW DATA EXTRACTIONDATA EXTRACTION

WORK CLOSE WITH CORPORATION COUNSELWORK CLOSE WITH CORPORATION COUNSEL




PREPARTORY BEST PRACTICESPREPARTORY BEST PRACTICES

ESTABLISH/ ADOPT A RETENTION POLICYESTABLISH/ ADOPT A RETENTION POLICY AUTOMATE AS MUCH AS POSSIBLE (reduces AUTOMATE AS MUCH AS POSSIBLE (reduces

wasted employee time)wasted employee time) BACKUP = REBUILD = $$$BACKUP = REBUILD = $$$ ARCHIVAL = SELECTIVE RETRIEVALARCHIVAL = SELECTIVE RETRIEVAL

ORGANIZE DATA FOR EXTRACTIONORGANIZE DATA FOR EXTRACTION By userBy user By typeBy type By dateBy date




PREPATORY BEST PRACTICES (CONT.)PREPATORY BEST PRACTICES (CONT.)

EMAIL ETIQUETTE POLICYEMAIL ETIQUETTE POLICY

REDUCE / ELIMINATE SECONDARY DATA SOURCESREDUCE / ELIMINATE SECONDARY DATA SOURCES• File sharingFile sharing• Thin clientThin client

VISIT SOM HAL WEBSITEVISIT SOM HAL WEBSITE




CONSEQUENCES OF POOR PLANNINGCONSEQUENCES OF POOR PLANNING

ADVERSE DECISIONS BASED ON PRESUMPTION ADVERSE DECISIONS BASED ON PRESUMPTION OF FACTS IN FAVOR OF OPPOSING PARTYOF FACTS IN FAVOR OF OPPOSING PARTY

MORGAN STANLEYMORGAN STANLEY

UBSUBS


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