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eDiscovery and Electronic Records Management. Christina Miller, CA Office of the Secretary of State Records Services Division Records Management. Why manage records?. Records are created for business and legal reasons. Records management is about ensuring :

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ediscovery and electronic records management

eDiscovery and Electronic Records Management

Christina Miller, CA

Office of the Secretary of State

Records Services Division

Records Management

why manage records
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
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 1091
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
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
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
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 http://www.iso.org

  • Goal is to maintain complete and accurate records
    • One official record, one record owner, one system of record
electronic records
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
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
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/
resources standards organizations
Resources – Standards/Organizations
  • 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
contact information
Contact Information

Christina Miller, CA

Electronic Records Archivist

(573) 751-7299