Working Through A Catastrophic Event
Presentation for Twin Cities AIIM
May 2009 Meeting
Michele Bliss
Barbara Forsland
Kim Roberson
May 12, 2009 Mn/DOT 1

What do we know?
August 1, 2007, 6:05 p.m., I-35W
Bridge 9340 over the Mississippi River
collapsed
Mission
Identify, Collect and Preserve Records
Transparency
Electronic access and preservation
May 12, 2009 Mn/DOT 2

First Responses
Acknowledgments
Personal
Agency / Teams
Notice of Duty
August 3, 2007 Litigation Hold Directive
All bridges / 9340
Steering Team Convened
Need a Plan
May 12, 2009 Mn/DOT 3

To Fulfill the Mission, Need to Answer
Who
What
Where
When
How
May 12, 2009 Mn/DOT 4

Who
Steering Team
Decision Makers
Implementers
Outside Resources
Gather information, evaluate, decide, DO
May 12, 2009 Mn/DOT 5

Roles and Responsibilities
Proactive - Define before an event
Reactive - Define as it is happening
Be clear and concise
Especially if role needs to multi-task
People need to be
Decisive
Capable of thinking on their feet
Able to make good decisions with information provided
Able to stick to the scope of the project
Supportive
Don’t waver!
May 12, 2009 Mn/DOT 6

Steering Team (Checks and Balances)
Responsible Authority
Data Practices Compliance Officer
Chief Financial Officer
Chief Information Officer
Tort Claims Specialist
Business Representatives From Key Areas
Communications Representative
Government Relations
Records Manager
May 12, 2009 Mn/DOT 7

Steering Team
Team Responsibilities
Initial Decisions
Project Manager
Hire a consultant?
Know when to go outside of the agency
Use internal resources?
Know what they are
Be honest in evaluation
Proactive – pretrain agency staff
Key Business Areas’ Responsibilities
May 12, 2009 Mn/DOT 8

Decision Makers
Chief Financial Officer
Budget
Data Practices Compliance Officer
Requests
Notifications of hold to contractors, consultants & trade
organizations
Data review
Hiring of review staff
Content management
Public / Not Public
Implementation plan
Budget sign-offs
Administrator Role
May 12, 2009 Mn/DOT 9

Decision Makers
Project Manager
Develop and manage the project plan
Lead for any/all tasks related to electronic access
Disaster recovery tape identification, gathering, storage
Vendor contracts
Records Manager
Identify and collect data & documents
All formats
Document scanning and profiling
Consistency of process & procedures
Logs
Chain of custody
Compliance
Administrator Role
May 12, 2009 Mn/DOT 10

Implementers
Agency Contract Management
Single source
Interagency agreement
Bid process
EDMS Team with Employee Volunteers
Scanning and profiling
Materials pickup & delivery
Tracking log maintenance (Chain of custody)
Business representatives
Identify, gather, scan
Data requests
Communications
Website
Requests
May 12, 2009 Mn/DOT 11

Outside Resources
Department of Administration
Materials Management Division
Acquisition Management Specialist
State approved vendors
Off-site storage
Backup tapes
Original materials
Scanning vendor
May 12, 2009 Mn/DOT 12

What
Create a Plan (Project Manager)
Which Records?
Time Frame
May 12, 2009 Mn/DOT 13

Action Plan
Discovery, Scoping, Planning
Collection of Priority Data
Preservation & Compliance
Collection Sweep-up
Privilege Review, Data Practices Release
Transition to Project Close
Continuance-New Data or Discovery &
Compliance
Litigation
May 12, 2009 Mn/DOT 14

Project Organization Chart
May 12, 2009 Mn/DOT 15

Plan Deliverables
12/31/07 Owner Barb Forsland
Mn/DOT Bridge 9340 Data Practices & Litigation Support Deliverables Contractors & Vendors
All Dates Are Estimated Targets Litigation Hold Notification
Operational by 10/11/07 Mailing
Operational by 11/16/07 Publications
Bridge & Structures Metro Central Office Records Contractors
Owner Michele Bliss Owner Betsy Parker
(Oakdale) 10/19/07 (Library, Materials Lab, Ft. Snelling, Center & Vendors
Paper Document Identification & Gathering 10/05/07 Traffic & RTMC) Ongoing TBD Data Practices Information
Completion by 01/31/08 11/16/07 Request (Tracking Application)
01/31/08 Finance Office Operational by 11/16/07
Owner Kim Roberson
Bridge & Structures Metro Central Office Records Contractors
Owner Michele Bliss
(Oakdale) 10/19/07 (Library, Materials Lab, Ft. Snelling, Center & Vendors Disaster Recovery
Document Scanning 10/19/07 11/16/07 last call Traffic & RTMC) Ongoing TBD Identification, Gathering
Completion by 02/15/08 11/09/07 re-scans 11/30/07 & Secured Storage
02/15/08 Finance Office Completed by 12/31/07
Majority of Owner Michele Bliss
In-House
Scanning to
B27 Laptop Snapshots
Lason (Vendor)
Completion by 12/31/07
Bridge & Structures Metro Central Office Records Contractors
Owner Michele Bliss (Oakdale) 10/19/07 (Library, Materials Lab, Ft. Snelling, Center & Vendors Owner Michele Bliss
11/02/07 01/11/08 last call Traffic & RTMC) Ongoing TBD
Document Profiling
01/11/08 re-scans 12/14/07 Document Bridge Databases
Possible
Completion by 02/29/08
Future
02/29/08 Finance Office Completion by 01/31/08
Owner Michele Bliss
Barb Forsland
Electronic File Identification & Gathering Litigation Hold Compliance Follow-up
12/14/07 Standard Files (e.g., Word, Excel, PowerPoint, Visio, PDF, etc.) (Pathlore Application)
02/29/08 Non-Standard Files (e.g., CADD, photos, audio, video, not public, etc.) Completion by 01/31/08 for 9340Bridge
Completion by 03/28/08 for all
Owners Barb Forsland Owners Barb Forsland, Michele Bliss, Owners Barb Forsland, Michele Bliss, Owner Barb Forsland
& Jeanne Hansen & Jeanne Hansen
Implementation Plan
Draft 3 by 02/29/08
Content Management, Redaction, & Commence Partial Fills 9340Bridge Email Identification & Gathering Additional Email Identification & Gathering Draft 4 by 03/28/08
Operational by 02/15/08 Operational by 11/16/07 Operational by 01/31/08 Draft 5 by 04/30/08
Improved Compliance by 01/31/08 Additional drafts of finals TBD
Owner Michele Bliss
Records Compliance Plan
Owner Kim Roberson Public Bridge 9340BridgePublic Electronic Documents Electronic Physical Other
Draft 1 by 02/29/08
Web Site Email Mgmt System (EDMS) Files Records Email
Electronic Access Draft 2 by 03/28/08
08/10/07 12/31/07 01/11/08 12/31/07 01/31/08 01/31/08
Operational by 01/31/08 Draft 3 by 04/30/08
Additional drafts or a final TBD
May 12, 2009 Mn/DOT 16

Project Timeline
7/10/2008
Mn/DOT Bridge 9340 Litigation Hold and Data Practices Milestones Timeline
8/6/2007 10/11/2007
8/1/2007 Steering Team Contractors & Vendors Group 2 11/16/2007
Br. 9340 Collapsed Formed Notice of Duty Mailings Data Practices Information Request
Tracking System Enhanced
8/16/2007 9/4/2007
10/19/2007 12/1/2007
Bridge Office Paper Docs AG Litigation Hold
Requested VoiceMail Addition CO & Districts Paper Docs Contractors & Vendors 3/17/2008
8/8/2007 Requested Notice of Duty Publications in Data Practices Contract
P1113 Kick-Off 9/21/2007 Print & Web Executed Attorneys Operational
11/7/2007
Contractors & Vendors Group 1
8/28/2007 Notice of Duty Mailings Business Letter Tracking 3/3/2008 3/24/2008
12/24/2007
Metro District Paper Docs Operational CADD Files Library Research Area
Compliance Survey
Requested Follow-up w/Supervisors Requested Operational
Executed
8/8/2007 - 1/1/2008 1/1/2008 - 3/17/2008 3/17/2008 - 6/30/2008
Preservation, Discovery/Scoping/Planning, Collection of Priority Data & Compliance Collection of Data (Sweep-Up) Privilege Review, Data Practices Release & Transition to Project Close
9/1/2007 10/1/2007 11/1/2007 12/1/2007 1/1/2008 2/1/2008 3/1/2008 4/1/2008 5/1/2008 6/1/2008
8/1/2007 6/30/2008
9/28/2007
8/17/2007 Bridge File Transfer 11/21/2007 2/4/2008 3/7/2008
Disaster Recovery Tapes Operational E-files QAM Web site 3/19/2008 6/24/2008
Suspended Requested Operational Operational Audio, Photos, & Video Steering Team
(7/18/07 to 8/29/07) 9/7/2007
E-mail Files Requested Monthly Meetings Ended
9/7/2007 12/7/2007
8/29/2007 Requested 2/8/2008 Future Meetings Ad-hoc
Voicemail 11/13/2007 Laptop Snapshots
GroupWise, Ad, and ______ Requested Requested Laptop Snapshots Completed
Acct. Deletion Suspended Disaster Recovery Tapes
Requested
11/5/2007 12/20/2007
Compliance Survey Disaster Recover Tapes 3/10/2008
Executed Collected and Stored with Recall Email Request Lifted
(e.g., 9340Bridge)
8/3/2007 12/6/2007 7/3/2008
Because
AG Litigation Hold Inspectors Quest Archive Manager P1113 Project Close/Documentation
Notification to All Employees Notice of Duty Mailings is Operational and Process Hand-Off
6/30/2008 - 8/1/2010
Continuance: Compliance Reminders, Preservation, Collection, Privilege Review and Data Practices Releases
1/1/2009 1/1/2010
6/30/2008 8/1/2010
8/1/2010 - 8/1/2022
Estimated Potential Litigation Length
1/1/2011 1/1/2012 1/1/2013 1/1/2014 1/1/2015 1/1/2016 1/1/2017 1/1/2018 1/1/2019 1/1/2020 1/1/2021 1/1/2022
8/1/2010 8/1/2022
May 12, 2009 Mn/DOT 17

Identify
BRIDGE records or 9340 records
Paper
Scan as much as possible
Electronic / Digital
Existing documents in the document management system
Other electronic documents/files
On servers
On hard drives
On external storage devices
Email
Other formats
X-rays
Microfilm/fiche
Audio cassettes
5.25” floppy disks
CDs
DVDs
Photographs
May 12, 2009 Mn/DOT 18

Identify
Pre or Post event records, or Both
Consider –
Public
Most pre event documents were Public
Not Public
Rescue, Recovery, Removal
Investigation(s) dynamics
Feds (NTSB)
Legislature (Gray Plant Mooty)
Consultant hired by Governor (Wiss Janney Elstner)
Good deal of post event determined to be Not Public until NTSB
report released
Transparency – Release of Information
May 12, 2009 Mn/DOT 19

Considerations
Decentralized Systems & Processes
Data, documents & records in numerous locations
Various “owners”
Various records systems
Multiple media types
Multiple data and document types
Multiple storage repositories
Onsite / Off-Site
May 12, 2009 Mn/DOT 20

Where Are The Records?
Electronic document management system
Email
E-documents / E-files
Physical records
Disaster recovery tapes
Miscellaneous
Laptops
CADD / MicroStation files
Investigation materials
Consultant and contractor records
May 12, 2009 Mn/DOT 21

Where Will We Preserve The Records?
Off-site storage
Originals
Paper
Microfilm/fiche
X-rays
Audio tapes
CDs / DVDs
Backup tapes
On site storage
Document management system
Litigation server
Non EDMS electronic documents
Quest Archive Manager
Email
Website copies
NOT official records
May 12, 2009 Mn/DOT 22

When
As Soon As Possible
Set timelines
Determine milestones
May 12, 2009 Mn/DOT 23

How
By all means necessary
Ask, beg, cajole and threaten
In waves or by groupings
Functional areas
Entire agency
Paper / Non digital
Electronic / digital
Confidential, sensitive
Email
Laptops, external storage devices
May 12, 2009 Mn/DOT 24

Use Agency Tools
Pathlore
Educational & Compliance tool
Email application
Quest Archive Manager
Document management system (EDMS)
Network drives / servers
Website
Library kiosks
May 12, 2009 Mn/DOT 25

Decision points
Scanning
Profiling
Document management system
E-documents / e-files
Email
Disaster recovery tapes
Requests
Public access
Staffing / Volunteers
Suspension of user account deletion process
May 12, 2009 Mn/DOT 26

Meetings / Communication
Steering Team
Triumvirate
Business representatives
Attorneys General
Implementers
May 12, 2009 Mn/DOT 27

Compliance
Litigation hold reminders
Pathlore surveys
Logs
Chain of custody
May 12, 2009 Mn/DOT 28

Security and Preservation
Documents
Servers
Storage rooms
Data and document processing
Chain of custody
Key personnel
Administrators
May 12, 2009 Mn/DOT 29

Conflicting Issues
Investigation(s)
Bridge hold
Other holds
Requests
Top management
May 12, 2009 Mn/DOT 30

Project Close and Hand-offs
Debrief
Hand-offs
Support roles, responsibilities and
processes
Maintenance mode
Document the implementation plan
Service Acknowledgement
May 12, 2009 Mn/DOT 31

Contact Information
Michele Bliss
Records Manager
Mn/DOT
651/366-3012
michele.bliss@dot.state.mn.us
Barbara Forsland
Data Practices Compliance Officer
Mn/DOT
651/366-4822
barbara.forsland@dot.state.mn.us
Kim Roberson
Project Manager
Mn/DOT
651/366-4075
kim.roberson@dot.state.mn.us
May 12, 2009 Mn/DOT 32