Brent R. Holladay Chief Deputy, Information Resources Lake County Clerk of Courts

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1 Brent R. Holladay Chief Deputy, Information Resources Lake County Clerk of Courts

2 A Review of Where We re At November 2009 session on Electronic Records Retention 5 years have passed, but not much has changed Format Review (how much do you remember from 5 years ago?) Update Objective 1: Where/how to start educating users Objective 2: What has worked and what didn t work Objective 3: How to repeat and reinforce the message Discuss what others are doing

3 Review Public Records A record is a record is a record Public Records - Section (12), F.S. all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of the physical form, characteristics, or means of transmission, made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency Florida Supreme Court When information is intended to perpetuate, communicate, or formalize knowledge

4 Review Records Management IT, RMs and legal counsel must work together Legal requirements for access to electronic records Training Archiving vs. retention, ediscovery, etc. Establish Public Record Request procedures Key is to establish your Records Management Policy, document it, approve it, and comply with it Definitions Duties and Responsibilities Retention policy

5 Policy Resources Florida Department of State, Division of Library and Information Services (DLIS), Bureau of Archives & Records Management GS1-SL, State and Local Government Agencies (2013) GS11, Clerks of Court Records (2010) DLIS schedules are minimum retention times Offer Training Courses Florida Rules of Judicial Administration, Rule 2.430, Retention of Court Records

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7 Public Records Defined by content, not mode of communication and other electronic documents may be public records Only Record (Master) Copy retained Original created by sender Recipient of from outside source Duplicate/convenience copies can be deleted

8 Records Retention Policy Compliance RMLO responsible for creation of and compliance to policy Records Inventory Retention Schedules Record Retention Types Retention Practices Records Disposition Annual Records Management Compliance Statement to DLIS

9 Best Retention Practices - General Objective 1: Where/how to start educating users New employee orientation Security, Use and Privacy Public Records and Records Retention Objective 3: How to repeat and reinforce the message Constant vigilance! (Mad-Eye-Moody in Harry Potter and the Goblet of Fire) Ongoing Training / Awareness MS-ISAC posters Periodic s (phishing, encryption virus, etc.) Annual certification (with test and signed statement)

10 Best Retention Practices - Each employee is the record keeper Retention is based on content Non-public should be deleted Disposition of non-osa must be documented system is not an automatic retention system Establish policy and training program Label to facilitate record series id Typical record series: Correspondence and Memoranda: Administrative 3 FY Correspondence and Memoranda: Program and Policy Development 5 FY

11 How Do We Manage All These s? (DLIS Slides) Individual user management Agency/Enterprise wide management Either way: Do not use an system for retention of record copies of permanent/long-term records Print Save in a universal format (e.g., HTML) Save to a different storage medium

12 Individual User Management Organize Folders to Identify Retention Requirements: Determine what record series applies to the s you create, maintain or receive Create folder titles that reflect the retention requirements of those record series Manage both your sent folder and inbox (At one point, we had thought to skip the labeling of folders)

13 Individual User Management Inbox should be temporary storage Delete messages with an OSA Documents the disposition of all non-osa Manage your s regularly. Move to folders or delete: As they arrive As you act on them On a regular weekly or monthly schedule

14 Individual User Management Clean out your folder once retention requirement have been met: Retain the record Dispose of the mail record Empty trash/deleted items folder after deleting s BRH Notes: Document what you have done Policy dictates who is authorized to dispose of (process to approve and dispose) DOS: One RMLO, department coordinator, each person deletes own and reports once a year; 6 or 10 yr

15 Agency/Enterprise Wide Management 1. Determine the longest retention requirement that might apply to any record copy s in your system 10 years? (e.g., building permits) 7 years? (e.g., patient medical records) 6 years? (e.g., HIPPA related records) 5 fiscal years? (e.g., purchasing records)

16 Agency/Enterprise Wide Management 2. Establish automatic system storage periods to accommodate most, or all, s in the system that are record copies Most record copy s may have a retention period of five fiscal years or less Establish the system storage period at 6 years (Lake chose 6 years 6 months based on longest retention period being 5 years calendar or 5 fiscal + audit)

17 Agency/Enterprise Wide Management 3. Establish procedures for ensuring retention outside the system of record copy s with retention requirements exceeding the system storage period (e.g., print, convert) 4. Establish procedures for ensuring retention of records under legal hold as required for litigation, audit, or investigation

18 DOS Sample Inbox

19 Additional BRH Notes: Enterprise segment added due to software improvements Who keeps record copy? What records series do you use? (Lake 1 yr evaluation) Simplify by setting single policy at longest retention Don t have to sort into records series, but Best practice is to do so to verify compliance intent Can do so on a go-forward basis Document by listing all record series, especially longest

20 Lake County Clerk of Court Electronic Document Management Program Survey of records Determination of electronic records Program to retain records Initial focus: (Outlook) Electronic Documents - SharePoint

21 Records Survey

22 Lake Retention Project Retention vs archiving Low cost solution Outlook based Requires individual responsibility Automate where possible Ability to report compliance

23 Voic , Messaging and Text Voic Employees are prohibited from using voic to communicate official Clerk business or other public record that requires retention. Messaging The Clerk uses Microsoft s Lync for internal messaging. Employees are encouraged to use Lync for messaging. The conversation history feature is enabled which automatically forwards copies of messages to the employee s for retention purposes where needed.

24 Voic , Messaging and Text Texting The Clerk prohibits the use of texting for official Clerk business. Texting should only be used for communications that do not require retention. If an employee inadvertently receives or sends a text that requires retention, the employee must forward the message to the employee s or other record format that can be retained.

25 Employee Training Presentation

26 Objective 2: What has worked and what didn t work Didn t do Centrally distributed complex filing system Did work Simple Employee centric Continual reinforcement

27 What Can You Get? This presentation Lake Clerk Records Management Policy ( ) Lake Clerk Security, Use, and Privacy Policy ( ) Lake Clerk GS1-SL Retention Spreadsheet (v. 2009) Lake Clerk Retention Training presentation Department of State (DOS) Policy

28 Questions? Brent Holladay Lake County Clerk s Office BHolladay@lakecountyclerk.org