Public sector e-signature policy webinar 170711
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State and local entities are looking for new ways to engage citizens and provide value through digital channels. Yet they face challenges that are different from those faced by private industry. What are the best practices for rolling out electronic signatures? Can a policy help? Our panel will help you avoid common mistakes and provide guidance for a smoother transition to digital government.
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Public sector e-signature policy webinar 170711
- 1. E-Signature Policies for the Public Sector Webinar July 11, 2017
- 2. Our Panel Public Sector E-Signature Experts
- 3. Jenti Vandertuig Oversees the procurement and contracting functions of California’s sixth-largest county Transformed the procurement functions into a high-value, strategic operation with over $200 million in cost savings. Now transitioning from a paper to a cloud-based procure-to-pay system. Chief Procurement Officer, County of Santa Clara
- 4. Dominic Namnath $300 million private non-profit contracted to the California Department of Developmental Services (DDS) Developed a Program Directive for collecting and accepting electronic signatures for TCRC. CIO, Director, Tri-Counties Regional Center
- 5. Howard Hill Account manager providing IT services to the Board of Supervisors, County Administrator’s Office, Registrar of Voters, Alameda County Health Care Agency, and the Community Development Agency. Spearhead the implementation of Enterprise Solutions such as DocuSign and SalesForce. Now works with county agencies to implement electronic signatures. Information Technology Manager, Alameda County
- 6. Scott Bream Served as the state’s digital certificate program manager. Appointed in 2015 to lead a multi-agency team responsible for drafting statewide e-signature policy guidelines. Information Technology Security Policy Manager, Washington State Office of Cybersecurity
- 7. State E-Signature Laws Statutory support for digital government
- 8. Uniform Electronic Transactions Act – 1999 • Drafted by Uniform Law Commission (responsible for UCC) • Overlay statute that amends state laws or rules that require “writing or “signature” • Adopted in 47 states + DC • WA, IL, NY have e-signature statutes that predate UETA
- 9. “A record or signature may not be denied legal effect or enforceability solely because it is in electronic form.” Legality of eSignatures
- 10. Electronic Signatures in Global and National Commerce Act • “ESIGN” – June 2000 • Federal version of UETA • Instant 50-state baseline • Consumer protections • Preemption of nonconforming state laws
- 11. What is an Electronic Signature? 11 An electronic signature is an “electronic sound, symbol or process, attached to or logically associated with a contract or other record and executed or adopted by a person with the intent to sign the record.” Sound, symbol, process Associated with record Executed or Adopted By a person With intent to “sign”
- 12. Digital Policy Setting the rules for the digital channel
- 13. Why have a policy? The process of implementing any electronic solution will require answers to many questions that have never come up before, such as: What documents will we sign electronically? What documents will we accept electronically? How do we authenticate electronically signed and stored records? Whose workflow will we acknowledge in a multi-party transaction? How do we control when and how we create a digital workflow? How will we retain and preserve electronic records?
- 14. Internal workflows • Risk assessment • Business rules • Permissions • Procedure • Change management Digital transactions • Authentication • Consent • Notices and disclosures • Signatures • Record retention and access Acceptance • Transaction profiles • Assessment tools • Communication planning Digital Policy Development Three distinct policy types
- 15. 15 Risk Framework 1. Attribution Risk (sometimes called Authentication risk) 2. Repudiation Risk 3. Admissibility Risk 4. Compliance Risk 5. Adoption Risk 6. Relative Risk
- 16. Business owner’s challenge – County of Santa Clara Decision to automate our procurement & contracting functions required eSignatures as part of the digital transformation Partnered with County Counsel and IT Security teams to develop an eSignature Policy Board adopted eSignatures as a standard for contracts in 2016 Countywide directive to adopt eSignature platform for a more paperless environment issued in May 2017
- 17. Technologist’s view— County of Alameda Problems to be solved Reduce our paper consumption to meet our County's Green Goals for paper reduction Speed up business processes Improve staff efficiency Lessons learned Don’t expect everyone to beat your door down just because you offer eSignatures Expect users to submit use cases requiring complex workflows and solutions What we’d would do differently Bring in County Counsel participation early - get them up to speed on legality of eSignature long before contract is signed
- 18. Top-Down Policy Development - State of Washington No UETA Legacy digital signature law Amended 2015 to allow e- signatures that follow CIO guidelines Guidelines published in 2016
- 19. Need Drives Action—Tri-Counties Regional Center Regulations require data collection, retention, approvals, and certifications that result in lengthy delays in providing services to the people we serve. We can do better than that. • 45-120 days is considered within regulations for intake and assessment • 3-5 weeks is not unusual to start new services Allowing staff to insert eSignature within existing processes delivered results immediately. • Training wasn’t an issue – eSignature was viewed as “just another option” and procedures weren’t altered. • Large majority of people were already aware of or had used eSignature • Year 1: 40,000 docs, Year 2: 140,000, Year 3: looking like 225,000
- 20. Tri-Counties Regional Center Concern for uniformity in process weighted more than uniform outcomes. • People got caught up in details and process • “Testing” outside agencies can drive progress (forgiveness vs permission) • 3x Annual Audits passed with no findings Legal Certainty (lack of) will result in “no” and education is the only answer. This must be applied at the highest level. • Federal level with CMS to get approval for Medicaid participants • State Level – Laws amended to add eSignature to Civil Code • State Level – Define more clearly what eSignature is and is not • Department Level – Program directives to define and allow use of eSignature • Local Level – Meet with local providers to review laws and remove impediments to adoption
- 21. Questions Raise hand or type your question for the moderator
- 23. Other Resources ESRA (Electronic Signature and Records Association) http://www.esignrecords.org With expansive membership and cross-functional representation, ESRA focuses on issues affecting the adoption of electronic signatures and records. SPERS (Standards and Procedures for Electronic Records and Signatures) http://spers.org/ Source for legal considerations for designing US electronic signature and records systems Online collection of e-signature policies http://www.esignaturepolicies.com Free resource for policymakers and educators. K6 Partners / K6 Legal Blog http://www.k6blog.com E-Signature law and policy
Editor's Notes
- As the CPO of the 6th largest county in California, Jenti oversees the procurement and contracting functions with an annual spend of over $2 billion. As a thought leader with a clear strategic vision, Jenti transformed the procurement functions from a tactical, low impact, back office function into a high-value, strategic operation with proven success in driving change and transformation across the organization with over $200 million in cost savings. Most recently, Jenti brought collaborative commerce to the County and is transforming the procurement processes from a paper to a cloud-based procure-to-pay system. Jenti earned a BA from Madras University, India.
- Since 2001 Dominic has been Chief Information Officer, Security Officer, and HIPAA Compliance Officer for Tri-Counties Regional Center (TCRC), a $300 million private non-profit contracted to the California Department of Developmental Services (DDS) to support and provide services for 13,000+ people with developmental disabilities in three counties. Dominic developed a Program Directive for collecting and accepting electronic signatures for TCRC. Prior to TCRC Dominic spent 12 years at Electronic Data Systems (EDS) working in Account Management, infrastructure, systems integration, process automation, and support services for Xerox, Hitachi Data Systems, Levi Strauss, The Gap Inc., and Delco Systems (GM).
- For the past 24 years, Howard Hill has been employed by the Information Technology Department at Alameda County, California’s 7th largest County. Currently he serves as the account manager providing IT services to the Board of Supervisors, County Administrator’s Office, Registrar of Voters, Alameda County Health Care Agency, and the Community Development Agency. His team of developers also spearhead the implementation of Enterprise Solutions such as DocuSign and SalesForce. Howard’s team now works closely with the County’s 28 agencies and departments to help them implement electronic signatures to streamline their business processes so as to provide the citizens of Alameda County with a more robust and responsive County government.
- Following the passage in 2015 of a state law confirming the ability of public sector entities to use electronic signatures, Scott was appointed to lead a multi-agency team responsible for drafting statewide guidelines. The team published its guidelines in August 2016. Scott previously served as the state’s digital certificate program manager. In this role, he was responsible for providing Public Key Infrastructure policy and services to support the issuance of digital certificates used to create legally-binding digital signatures and provide external authentication to the state’s most sensitive information.
- Types: Procurement Agreements Employment-related Agreements Sales Agreements NDAs (presales versus others?) Content and Technology Licenses Signature: Electronic, Digital or Handwritten Where is the signer located? Can you use choice of law? Lots of creative possibilities: instead of simply dividing contracts into electronic/digital/handwritten, some use simple electronic signatures but require a scan of a handwritten signature be used, adding an element of biometric authentication to an otherwise simple signature; some have dispensed with the additional burdens of digital signatures and have simply chosen to use simple signatures for 98% of all business and handwritten for the other 2%
- Types: Procurement Agreements Employment-related Agreements Sales Agreements NDAs (presales versus others?) Content and Technology Licenses Signature: Electronic, Digital or Handwritten Where is the signer located? Can you use choice of law? Lots of creative possibilities: instead of simply dividing contracts into electronic/digital/handwritten, some use simple electronic signatures but require a scan of a handwritten signature be used, adding an element of biometric authentication to an otherwise simple signature; some have dispensed with the additional burdens of digital signatures and have simply chosen to use simple signatures for 98% of all business and handwritten for the other 2%
- Question for Jenti: How did you go about developing your digital policy, and what were the steps in implementing it? Question for Scott: What are the critical elements of a digital policy that help you meet your objectives? Question for Howard: Who/what were the critical resources behind the policy drafting? Question for Dominic: Based on your experience, what are some best practices for driving adoption of digital government?