Chapter 21: Recordkeeping and Reporting Requirements

Part A: Recordkeeping

Part B: Juvenile History Record Information, Biometric Data Collection, and Reporting to Department of State Police and Secretary of State

Part C: Setting Aside Juvenile Adjudications and Convictions

Part D: SORA Registration, DNA Profiling, and Communicable Disease Testing Requirements

In this chapter...

This chapter discusses recordkeeping and reporting requirements regarding juveniles in delinquency and criminal proceedings. Part A discusses the courts’ recordkeeping obligations, confidentiality of and access to records, retention and destruction of exhibits and records, and the use of evidence and records concerning juveniles in subsequent proceedings. Part B addresses reporting requirements concerning the Michigan Department of State Police and the Secretary of State and the maintenance and destruction of records, including fingerprints and other biometric data, by these agencies. Part C discusses statutory requirements for the setting aside of juvenile adjudications and convictions. Part D briefly discusses registration under the Sex Offenders Registration Act (SORA), DNA profiling, and communicable disease testing requirements, topics that are more thoroughly addressed in the Michigan Judicial Institute’s Sexual Assault Benchbook.

Among the specific topics addressed in this chapter are the following:

•​What records must the Family Division keep regarding juveniles within its jurisdiction?

•​Who has access to those records and for what purposes?

•​When may such records be destroyed?

•​What information must be reported to the Department of State Police and the Secretary of State?

•​What is the effect of “setting aside” an adjudication or conviction?

•​When must a juvenile provide a DNA sample?

•​When must a juvenile be tested for venereal or HIV disease, and who has access to the test results?

Part A: Recordkeeping

21.1​Family Division Records and Recordkeeping Obligations

“The court, under the direction of the chief judge, has responsibility for the management of all records necessary to adequately support the business of the court. It requires the systematic control of those records from the point they are created, received, or filed to the point they are transferred to the Archives of Michigan or destroyed in accordance with approved record retention and disposal schedules. This is accomplished through the assistance of staff support, including, but not limited to, court administrators, registers of probate, clerks of the court, probation officers, and friends of the court, all of whom are required to comply with various laws, court rules, and standards pertaining to management of the judiciary’s court records.” Michigan Trial Court Records Management Standards, Introduction.

For additional information on records management, and for links to records retention and disposal schedules, see the State Court Administrative Office’s Records Management website.

A.​Personal Identifying Information (PII)

“[P]ersonal identifying information is protected and shall not be included in any public document or attachment filed with the court on or after April 1, 2022,” unless otherwise provided by the Michigan Court Rules. MCR 1.109(D)(9)(a).

1.​Protected PII Defined

An individual’s protected PII includes the following:

•​date of birth,

•​Social Security number or national identification number,

•​driver’s license number or number of state-issued personal identification card,

•​passport number, and

•​financial account numbers. MCR 1.109(D)(9)(a)(i)-(v).

2.​Filing and Accessing Protected PII

a.​Filing a Document Containing Protected PII

When law or court rule requires protected PII, as it is defined in MCR 1.109(D)(9)(a), to be filed with the court, or when the court finds the information necessary to identify a specific individual in a case, the PII must be provided using the form and manner required by the State Court Administrative Office (SCAO).¹ MCR 1.109(D)(9)(b)(i).

Protected PII provided to the court in compliance with the requirements of MCR 1.109(D)(9)(b) must be entered into the case management system according to standards established by the SCAO. MCR 1.109(D)(9)(e). “The information shall be maintained for the purposes for which it was collected and for which its use is authorized by federal or state law or court rule; however, it shall not be included or displayed as case history under MCR 8.119(D)(1).

Except as otherwise provided in the court rules, when a party is required to provide protected PII in a public document to be filed with the court, the party must redact the protected PII from the document and file the PII form approved by SCAO.² MCR 1.109(D)(9)(b)(iii). Unredacted protected PII may be included on Uniform Law Citations filed with the court and on proposed orders submitted to the court. Id. If a party submits a proposed order to the court that is required to contain unredacted protected PII once issued by the court, the party must not attach the proposed order to another document. Id.

The SCAO form must contain the information redacted from the document and must assign an appropriate reference to the information contained in the SCAO form that uniquely associates each item redacted from the document with the corresponding personal identifying information provided on the SCAO form.³ MCR 1.109(D)(9)(b)(iii). When a reference is made in a case to the identifier representing the personal identifying information on the SCAO form, the reference to the identifier is understood to refer to the complete information related to the identifier appearing on the form. Id. The SCAO form may include fields for the PII, and the information inserted into the fields will be protected.⁴ Id.

Providing a Social Security number. When a Social Security number is required to be filed with the court, the number must be limited to the last four digits, except when the documents being filed are required by the Friend of the Court and will not be placed in the court’s legal file under MCR 8.119(D). MCR 1.109(D)(9)(b)(ii).⁵

b.​Amending Protected PII

An individual may amend as of right the protected PII provided in the SCAO form. MCR 1.109(D)(9)(b)(iii).

c.​Access to a Document Containing Protected PII

Limited access to protected PII. Protected PII under MCR 1.109(D) is nonpublic. MCR 1.109(D)(9)(b)(iv). Protected PII is available for purposes of case activity or as otherwise required by law or court rule. Id. The protected PII provided is available only to the parties in a case, to interested persons described in the court rules, and to other persons, entities, or agencies authorized by law or court rules to access nonpublic records that have been filed with the court. Id.

3.​Consenting to the Access of Protected PII

A party may stipulate in writing to permit any person, entity, or agency to access to his or her protected PII. MCR 1.109(D)(9)(b)(v)(A). Any person, entity, or agency attempting to access the protected PII must provide the court with the stipulation permitting access. Id.

a.​Access to a Party’s Date of Birth

Obtaining authority to access a party’s date of birth. For the purpose of confirming a particular person’s identity and with the person’s consent, an individual may be authorized to access a party’s date of birth without having to present a stipulation as is required under MCR 1.109(D)(9)(b)(v)(A) in order to access protected PII. MCR 1.109(D)(9)(b)(v)(B)(1).

Possession of the party’s consent. The individual authorized to access a birthdate must retain possession of the consent, or the consent must be retained by the entity for which the individual works, or the person or organization (or someone acting on their behalf) seeking a party’s date of birth. MCR 1.109(D)(9)(b)(v)(B)(1).

b.​List of Individuals Authorized to Access a Party’s Date of Birth

SCAO list of authorized individuals. The SCAO will maintain a list of the individuals having the authority to access a party’s date of birth. MCR 1.109(D)(9)(b)(v)(B)(1). To appear on the SCAO list, an individual must provide in writing the name of the entity for which the individual works and an assurance that on each occasion the individual seeks to confirm a party’s birthdate, it will be in the course of the individual’s work and with the consent of the person whose date of birth is sought. Id. The assurance must be updated within every six months from the date of the original submission. Id.

Additional information required for placement on the SCAO list. In addition, an individual attempting to be placed on the SCAO list of individuals authorized to access birthdates must provide proof of his or her employer’s or hiring entity’s professional liability insurance in effect during the time the individual is seeking the person’s date of birth. MCR 1.109(D)(9)(b)(v)(B)(2). The proof of insurance is nonpublic and must be updated upon the expiration or termination of the insurance policy. Id.

Court’s duty to verify identity. A court must verify the identity of an individual claiming to be authorized to obtain a person’s birthdate by matching the name appearing on the individual’s state-issued identification card with the individual’s name on the SCAO list. MCR 1.109(D)(9)(b)(v)(B)(3). Courts and SCOA may create secure, individualized accounts that allow authorized individuals to access a party’s date of birth electronically. Id. After confirming the identity of the individual seeking information about a person’s birthdate, a court must supply the authorized individual with a public register of actions or other public document that includes the person’s date of birth. Id.

4.​No Exemptions for Service of Protected PII

Except by a court order issued under MCR 1.109(D)(9)(b)(vii) making the PII confidential, there is no exemption from the requirement that a court or a party serve a nonpublic document that was filed with the court and includes the protected PII that must be provided to the court as stated in MCR 1.109(D)(9)(b)(i). MCR 1.109(D)(9)(b)(vi).

5.​Protected PII May Be Made Confidential

For just cause found, a court may, on its own motion or by motion of a party, order that PII be made confidential. MCR 1.109(D)(9)(b)(vii). The order must identify the person, party, or entity whose access to the PII is restricted. Id. When a party’s home address or telephone number is made confidential, the court order must provide an alternative address for service on the party or an alternative phone number by which the party may be contacted about case activity. Id.

6.​Failing to Comply With Requirements to Protect PII

If a party files his or her protected PII in a public document and does not provide the information in the form and manner established by the SCAO under MCR 1.109(D)(9), the party waives the protection available for his or her PII. MCR 1.109(D)(9)(d)(i). When a party fails to comply with the requirements of MCR 1.109(D) the court, on its own initiative or by a party’s motion, may have the improperly filed documents sealed and order that new documents with redactions be prepared and filed. MCR 1.109(D)(9)(d)(ii).

7.​Redacting Protected and Unprotected PII

a.​Protected PII in Documents Filed With a Court

A person whose protected PII appears in a document filed with the court may request in writing that the protected PII be redacted;⁶ if a person makes such a request, the clerk of the court must promptly process the request. MCR 1.109(D)(10)(c)(i). No motion fee is required for the request, the request must specify the protected PII to be redacted, and the document must be maintained as a nonpublic document in the case file. Id.

b.​Unprotected PII in Public Documents Filed With a Court

PII not protected under MCR 1.109 may be redacted or made confidential or nonpublic. MCR 1.109(D)(10)(c)(ii). A party or a person having unprotected PII in a public document filed with the court may, in an ex parte motion using the appropriate SCAO-approved form,⁷ request that the court direct the court clerk to redact the information specified by the party or person or to make the information confidential or nonpublic. Id. The court has discretion to hold a hearing on the motion. Id. The court must enter an order to redact the information or to make the information confidential or nonpublic “if the party or person’s privacy interest outweighs the public’s interest in the information.”⁸ Id.

c.​Protected PII in an Exhibit Offered for Hearing or Trial

Protected PII may be redacted from an exhibit offered at a hearing or a trial when a person or party having protected PII in the exhibit requests in writing to have the PII redacted. MCR 1.109(D)(10)(c)(iii). No motion fee is required. Id. The person or party seeking redaction must identify in the request the specific protected PII to be redacted, and the request must be maintained as a nonpublic document in the case file. Id. The court must order the information redacted “if the party or person’s privacy interest outweighs the public’s interest in the information.” Id.

d.​Unredacted Protected PII in Transcripts Filed With a Court

Unredacted protected PII may be included on transcripts filed with the court; however, the clerk of the court must redact protected PII if a person submits a written request identifying the page and line number for each place in the transcript where the PII is located. MCR 1.109(D)(10)(c)(iv).

8.​Responsibility for Redaction

The parties and their attorneys are solely responsible for excluding or redacting the PII listed in MCR 1.109(D)(9) from all documents filed with or offered to the court. MCR 1.109(D)(10)(a). There is no requirement that at the time of filing, a court clerk review, redact, or screen documents for PII, whether protected or unprotected, without regard to whether the documents are filed electronically or on paper. Id.

Except as otherwise provided in the court rules, a court clerk is not required to redact protected PII from documents filed with or offered to the court⁹ before providing a copy of the document requested, whether in-person or via the internet, or before making available at the courthouse via a publicly accessible computer that gives a person direct access to the document. MCR 1.109(D)(10)(a).

9.​Certifying a Record

“The clerk of the court may certify a redacted record as a true copy of an original record on file with the court by stating that information has been redacted in accordance with law or court rule, or sealed as ordered by the court.” MCR 1.109(D)(10)(d).

10.​Maintaining a Document After Redacting PII

Documents from which PII has been redacted, or to which access has been restricted, must be maintained according to the standards established by the SCAO. MCR 1.109(D)(10)(e).

B.​Records and Register of Actions

The clerk of the court¹⁰ is required to maintain case records; a register of actions (case history), searchable by case number or party name; and a case file¹¹ for each case. See MCR 1.109; MCR 8.119.¹²

Case Records. “The following definitions apply to case records as defined in MCR 8.119(D) and [MCR 8.119(E)]:

(1) ‘Confidential’ means that a case record is nonpublic and accessible only to those individuals or entities specified in statute or court rule. A confidential record is accessible to parties only in the manner specified in statute or court rule.

(2) ‘Nonpublic’ means that a case record is not accessible to the public. A nonpublic case record is accessible to parties and only those other individuals or entities specified in statute or court rule. A record may be made nonpublic only pursuant to statute or court rule. A court may not make a record nonpublic by court order.

(3) ‘Redact’ means to obscure individual items of information within an otherwise publicly accessible document.

(4) ‘Redacted document’ means a copy of an original document in which items of information have been redacted.

(5) ‘Sealed’ means that a document or portion of a document is sealed by court order pursuant to MCR 8.119(I). Except as required by statute, an entire case may not be sealed.” MCR 1.109(H).

Court Records. “For purposes of [MCR 8.119], records are as defined in MCR 1.109, MCR 3.218, MCR 3.903, and ¹³

“(i) documents, attachments to documents, discovery materials, and other materials filed with the clerk of the court,

(ii) documents, recordings, data, and other recorded information created or handled by the court, including all data produced in conjunction with the use of any system for the purpose of transmitting, accessing, reproducing, or maintaining court records.”¹⁴

Note: “Discovery materials that are not filed with the clerk of the court are not court records. Exhibits that are maintained by the court reporter or other authorized staff pursuant to MCR 2.518 or MCR 3.930 during the pendency of a proceeding are not court records.” MCR 1.109(A)(2). “[M]aterials that are intended to be used as evidence at or during a trial” in juvenile proceedings “[must] not be filed with the clerk of the court, but [must] be submitted to the judge for introduction into evidence as exhibits[,]” except as otherwise required by statute or court rule. MCR 3.930(A).¹⁵

Case File. A file is “a repository for collection of the pleadings and other documents and materials related to a case.” MCR 3.903(A)(8). The clerk of the court is required to maintain a case file of each action, except for civil infractions, “for all pleadings, process, written opinions and findings, orders, and judgments filed in the action, and any other materials prescribed by court rule, statute, or court order to be filed with the clerk of the court.” MCR 8.119(D)(1)(b); see also MCR 8.119(D)(1). “The clerk of the court may only reject documents submitted for filing that do not comply with [MCR 1.109(D)(1)-(2)], are not signed in accordance with MCR 1.109(E), or are not accompanied by a required filing fee or a request for fee waiver under MCR 2.002(B), unless already waived or suspended by court order.” MCR 8.119(C). “Documents prepared or issued by the court for placement in the case file are not subject to rejection by the clerk of the court and shall not be stamped filed but shall be recorded in the case history as required in [MCR 8.119(D)(1)(a)] and placed in the case file.” MCR 8.119(C).

Register of Actions (Case History). A register of actions is “the case history of all cases, as defined in [MCR 3.903(A)(1)], maintained in accordance with Michigan Supreme Court Records Management Standards.” MCR 3.903(A)(26). The clerk of the court must create and maintain a register of actions (case history) for each case in the court’s automated case management system, and the system must be searchable by case number or party name (“previously known as numerical and alphabetical indices”). MCR 8.119(D)(1)(a). “The case history shall contain both pre- and post-judgment information and shall, at a minimum, consist of the data elements prescribed in the Michigan Trial Court Records Management Standards.” MCR 8.119(D)(1)(a). Each entry must “show the nature of each item filed, each item issued by the court, and the returns showing execution. The case history entry of each item filed shall be dated with the date of filing (if relevant) and the date and initials of the person recording the action, except where the entry is recorded by the electronic filing system.” Id. If the entry is recorded by the electronic filing system, “the entry shall indicate that the electronic filing system recorded the action. The case history entry of each order, judgment, opinion, notice, or other item issued by the court shall be dated with the date of issuance and the initials of the person recording the action.” Id.

MCR 3.925(E) provides:

”The court shall destroy its case files and other court records only as prescribed by the records retention and disposal schedule established under MCR 8.119(K). Destruction of a case record does not negate, rescind, or set aside an adjudication.”

C.​County Clerk’s Obligations

1.​Custodial Function

“[T]he clerk has a constitutional obligation to have the care and custody of the circuit court’s records and . . . the circuit court may not abrogate this authority.” Lapeer Co Clerk v Lapeer Circuit Court, 469 Mich 146, 158 (2003), citing In the Matter of Head Notes to the Opinions of the Supreme Court, 43 Mich 640, 643 (1880). In Lapeer Co Clerk, 469 Mich at 160, the Michigan Supreme Court further explained the clerk’s custodial function:

“The circuit court clerk’s role of having the care and custody of the records must not be confused with ownership of the records. As custodian, the circuit court clerk takes care of the records for the circuit court, which owns the records. Nothing in the constitutional custodial function gives the circuit court clerk independent ownership authority over court records. Accordingly, the clerk must make those records available to their owner, the circuit court. The clerk is also obligated to make the records available to members of the public, when appropriate.”

2.​Ministerial Function

“The clerk’s noncustodial ministerial duties are directed by the [Michigan Supreme] Court, as the determination of the precise noncustodial ministerial duties to be performed is a matter of court administration entrusted exclusively to the judiciary under Const 1963, art 3, § 2[,] Const 1963, art 6, § 1, [and] Const 1963, art 6, § 5.” Lapeer Co Clerk, 469 Mich at 170-171. “This authority includes the discretion to create duties, abolish duties, or divide duties between the clerk and other court personnel, as well as the right to dictate the scope and form of the performance of such noncustodial ministerial duties.” Id. at 164.

D.​Recording Proceedings in the Family Division

“A record of all hearings must be made. All proceedings on the formal calendar^[16] must be recorded by stenographic recording or by mechanical or electronic recording as provided by statute or MCR 8.108. A plea of admission or no contest, including any agreement with or objection to the plea, must be recorded.” MCR 3.925(B).

“In any case in which a record of the hearing is kept by a recording device, a transcription of the hearing need not be made in the absence of a request by an interested party.” MCL 712A.17a. Such a recording “shall be maintained as prescribed by rules of the [Michigan Supreme Court].” Id.¹⁷