Information Disposition and Retention

Questions and Answers

What is the primary goal of RMS's initiatives to improve retention and disposal schedule compliance?

To ensure defensible disposition practices for records regardless of custody (correct)

To reduce the number of records in RMS's custody

To educate IT and data owners about records management

To promote the use of new IT applications

What is the consequence of not having a defensible disposition process?

Higher risk of unacceptable consequences (correct)

Improved IT system development

Reduced risk of mistakes

Increased efficiency in records management

What is one way RMS is encouraging defensible disposition practices among Michigan government agencies?

By ignoring records retention and disposition

By providing training and guidance documents (correct)

By automating disposition processes

By taking custody of all government records

What is the purpose of evaluating retention periods?

To ensure triggers can be implemented in a practical way Signup and view all the answers

What is the role of IT and data owners in defensible disposition?

To plan disposition frequency, authorization process, and legal hold process Signup and view all the answers

What is the purpose of deploying locked bins at office locations?

To collect confidential physical records for destruction Signup and view all the answers

Why is defensible disposition a multifaceted process?

Because it requires careful planning and implementation Signup and view all the answers

What is one initiative RMS is working on to improve retention and disposal schedule compliance?

Incorporating retention and disposition into IT system development Signup and view all the answers

What is the benefit of RMS's experience with defensible disposition?

It helps other custodians adopt similar procedures Signup and view all the answers

What does RMS emphasize about defensible disposition?

That it requires careful planning and implementation Signup and view all the answers

What is the primary goal of defensible disposition in records management?

To dispose of unnecessary records in a way that complies with organizational policies. Signup and view all the answers

Which action is NOT part of the defensible disposition principles?

Providing the public unrestricted access to all records. Signup and view all the answers

What distinguishes the legal custodian from the physical custodian of records?

Legal custodians own the records and ensure their integrity, while physical custodians manage their physical security. Signup and view all the answers

What must occur after records have reached their retention period in Michigan's records management?

Records eligible for disposal must be destroyed or transferred to the Archives of Michigan. Signup and view all the answers

Why is documentation important in the defensible disposition process?

To ensure transparency and accountability for disposal activities. Signup and view all the answers

Which of the following describes destruction in the context of records management?

The complete and irreversible demolition of records. Signup and view all the answers

What quality control measures must a custodian implement during the disposition process?

Verification that disposal processes are reasonable, transparent, and consistent. Signup and view all the answers

What is a significant consequence of improper records disposal?

Heightened risk of legal liabilities and compliance violations. Signup and view all the answers

What triggers the closure of electronic records containers?

The CLOSED DATE Signup and view all the answers

Who is responsible for sending disposal notices in each cycle?

Departmental Records Management Officers (RMO) Signup and view all the answers

Which of these reasons would NOT lead to the denial of a disposal request?

Approval by record owners Signup and view all the answers

For how long is the disposal documentation retained after the cycle is completed?

Ten years Signup and view all the answers

What happens to physical records during destruction by the vendor?

They are pulverized into tiny particles Signup and view all the answers

What action is taken if a disposal notice is denied by the RMO?

The container is removed from future disposal cycles Signup and view all the answers

What importance does the documentation hold in the disposal process?

It identifies errors and verifies approved containers Signup and view all the answers

What is a common behavior observed regarding customers and disposal notices?

They often fail to respond by the deadline Signup and view all the answers

What does RMS conduct once a year?

Archival transfer activities Signup and view all the answers

What crucial feature distinguishes electronic records destruction from merely deleting pointers?

Permanent deletion of records and their metadata Signup and view all the answers

What is the maximum capacity of the State Records Center?

500,000 cubic feet Signup and view all the answers

What is the primary role of the electronic document management (EDM) service offered by RMS?

To serve as a custodian of electronic records Signup and view all the answers

How often does RMS review its standard operating procedures (SOPs)?

Every five years Signup and view all the answers

What triggers the disposal of physical records with chronological retention periods?

The date of the youngest records in the container Signup and view all the answers

What is required by Michigan law before RMS disposes of records?

Notification to customers Signup and view all the answers

What is the consequence of destroying the wrong records at the wrong time, according to RMS?

Erosion of confidence in custodial responsibility Signup and view all the answers

What does the disposal instruction manual comprise in terms of length?

343 pages Signup and view all the answers

In what year did RMS start offering its electronic document management service?

2010 Signup and view all the answers

What amount of retrieval requests does the State Records Center receive daily?

Over 100 requests Signup and view all the answers

What is a key factor in identifying eligible containers for disposal according to RMS?

Link to an approved retention schedule Signup and view all the answers

Study Notes

Defensible Disposition

Defensible disposition is the effective disposal of physical and electronic information that does not need to be retained according to an organization's policies when the data is not or no longer subject to a legal requirement for retention.

Disposition Process in the State of Michigan

In Michigan, records disposal results in either destruction of records at the end of their retention period or transfer of records with historical value to the Archives of Michigan.
Destruction results in the complete demolition of records, so they cannot be reconstructed or accessed.
The Archives become the owner of transferred records and take responsibility for their protection, permanent preservation, and public access.

Principles of Defensible Disposition

The custodian accurately identifies the correct records to be eligible for disposal.
The custodian receives authorization to implement the disposal.
The custodian documents all disposal activities.
The custodian implements the disposal in a reasonable, transparent, predictable, and consistent manner.

State Records Center (RC) Operations

The RC has the capacity to store over 500,000 cubic feet of records and only stores records owned by state agencies.
The RC receives between 20,000 - 30,000 physical containers annually and disposes of approximately the same amount annually.
The RC receives over 100 retrieval requests from customers daily.

Defensible Disposition Process in RMS

RMS developed process maps, standard operating procedures (SOPs), and instruction manuals with built-in quality controls to ensure defensible destruction of eligible records.
The instructions are written to the click-level and take up 78 pages of a 343-page instruction manual.
SOPs are reviewed every five years or whenever a process change is necessary to ensure they remain updated and accurate.

Electronic Document Management (EDM) Service

RMS offers an EDM service to serve as a custodian of electronic records owned by other state agencies.
There are currently over 29 terabytes of data in the EDM repository.
Retention is applied to primary folders linked to the file plan, and the primary folder inherits the retention period configured for the file plan.

Approaches Taken by RMS

RMS addresses all four principles of defensible disposition through SOPs and quality controls.
RMS ensures that all containers (physical and electronic) are linked to an approved schedule and that schedule information is updated whenever a schedule is revised.
Disposition triggers are an important part of the formula that RMS systems use to identify eligible containers.

Results and Next Steps

RMS is confident that it has developed disposition processes that are both compliant with Michigan law and defensible.
RMS is continually evaluating its processes to identify gaps and improve efficiency.
RMS shares its experience and assistance about good recordkeeping and defensible disposition practices with Michigan government agencies through training, guidance documents, and services.

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Description

Learn about defensible disposition, a process of disposing physical and electronic information according to organizational policies, and the disposition process in the State of Michigan.