washington state archives presented by: leslie koziara electronic records management consultant,...

Washington State Archives

Presented by:

Leslie Koziara

Electronic Records Management Consultant, Western Washington

[email protected]

Electronic Records Management: Improving Your Outlook

• Requirements for Electronic Public Records

• Requirements and Guidelines (by format)– Scanned /Digitized Documents– Email– Websites– Web 2.0

• The Digital Archives

Overview

As public employees, everyone needs to have a level of responsibility for the public

records they create and use

Records Management is a team sport!

What is a Public Record?

• For the purposes of retention and destruction, two criteria:1. Regardless of format

2. Made or received in connection with the transaction of public business (Chapter 40.14 RCW)

• For public disclosure, refer to Chapter 42.56 RCW.

Records Retention in a Nutshell...

• Retain all public records for the minimum retention period as listed on approved Records Retention Schedules

• Once retention is met : Destroy if not an archival or permanent

series If permanent, take appropriate action

to retain Contact State Archives for appraisal

and transfer of all Archival records

Washington State Archives Documenting Democracy

Can I Print and Delete?

WAC 434-662-040

Electronic records must be retained in electronic format and remain usable, searchable,

retrievable and authentic for the length of the designated retention period. Printing and

retaining a hard copy is not a substitute for the electronic version unless approved by the

appropriate records committee.

Why Printing Doesn’t Work• Metadata associated with “born digital”

records establishes and preserves the authenticity of the record which is the evidence of the transaction it documents.

• Printing electronic records (e.g. emails) preserves the informational content but not the authenticity of the record.

7

Other Common Questions

• Why not keep everything?• What are the agency’s obligations

regarding public disclosure with electronic records?

• Whose responsibility is it to manage email records?

• For paper records, can I “scan and toss”?

Public Disclosure Who Can Help?

Tim FordOpen Government OmbudsmanOffice of the Attorney General

http://www.atg.wa.gov/OpenGovernment/Ombudsman.aspx

Destruction After Digitization (DAD)

Agencies wishing to scan paper records and then dispose of the primary (paper) copies before their required retention has been met must

obtain authorization to do so.

• Appropriate policies/procedures to ensure authenticity• Appropriate preservation measures• Appropriate retention/disposition procedures

http://www.sos.wa.gov/archives/RecordsManagement/DestructionAfterDigitization.aspx

Digitized Records

Scanning and indexing of source documents does not automatically authorize the destruction of the source documents for which images have been created.

(WAC 434-663-600)

Options when digitizing

1. Digitize and retain the paper original for the full required retention period; OR

2. Apply for and obtain DAD authorization, and destroy the paper originals after scanning, indexing and verification; OR

3. Create state standard-compliant security microfilm from the digital images; OR

4. For records with Archival designation, transfer originals to Archives after scanning.

GOAL!Successful organization and control is a

win–win situation• Agency benefits in lower costs and more

efficient operations• Employees benefit with better access and

increased productivity• Public benefits with transparency and prompt

responses to any requests

A winning strategy for electronic records

• Identify the record• Organize

• Disposition

Washington State Archives Documenting Democracy

IdentifyUsing approved records retention schedules

will help you:

• Identify records you need to keep • Identify records you can get rid of• Identify records needing additional attention

Essential Archival

Which Schedule do I Use?

Local agencies use both:

1) Local Government Common Records Retention Schedule (CORE)

AND

2) Sector-specific records retention schedules (including relevant sections of the Local Government General Records Retention Schedule (LGGRRS))

CORE

Agency Management

CORE

Human Resource Management

Where to Find Retention Schedules

http://www.sos.wa.gov/archives/

RecordsRetentionSchedules.aspx

Organize!

Think electronic “file cabinets”

Desktops and servers are digital “file cabinets” used for storage

Just like traditional metal ones

Electronic Record Life Cycle

Create or Receive Record

CONSIDER CONTENT

If NO retention value Delete

Record / Save Properly ID

If Archival

Transfer

Non-Archival

Keep until retention met

When retention is met, ID records for

destruction

DESTROY and document destruction

Approve for destruction

Have a plan• Create a “file plan” or “file structure”• Link to retention schedules• Pre-determined file folders provide

consistency, centralization and organization

• Mirror the plan throughout – use same structure for paper, email, desktop, network drives and servers

• Develop desk guides and cheat sheets

Set up structure

• Can be as individual “drawers” – working files set up in folders in email application

• Can be work group or section “file drawers” with folders set up on shared drive or server used by group

• Can be “central files” or “records center” – “file drawers” in a central repository for longer retention

Retention of Emails and other electronic

records

Within email applicationHow it works

• Individual users move e-mails into pre-determined folders that mirror those on server or shared drive

• Good to set up as “working files”, or for transitory records or with minimal retention value

• Recommend records with longer retention value be retained on drives or servers

Using email application folders

Remember:• Recommended use is for short-term or

temporary retention• Mirror folders you set up on network

server or shared drive • Match up to retention schedules• Use shared drive/server for records with

longer retention

Next level

Additional folders can be set up to further define the content

– easy to locate and search, still all under DAN # GS 22005

Mirror this structure on shared drive or server for records with

retention value

Be diligent with cleaning out records with no retention value

in these “working files” and save primary copies to shared

drive

Organizing in shared drive or network serverHow it works

• Designated shared drive or server is used as centralized “file cabinet” or repository

• Users save their emails into pre-determined folders in specific “drawers”

• Users can access in a centralized location• Generally no active retention or disposition

applied, but can set up system administrators to track files

Can look like this

Create file “drawers” and create appropriate folders in a server or shared drive “electronic

file cabinet”

Marry up with appropriate retention schedules and mirror pre-set email folders

Conferences & Seminars

GS22005

Next click

Create appropriate file “drawers” and create the folders as necessary in

which to “file” your information – all of these are still GS 22005

By using the .msg extension, it can saves record copyemails electronically and preserve the metadata as well – also will save attachments

Using classifications and naming conventions make it easier to search and locate the information

Email regarding meeting room contract

Local Gov’t CORE

An example

Additional file folders can be created

as necessary under each record series

Additional records series under a

categorycan be added

This is a PERMANENT, ESSENTIAL and POTENTIALLY ARCHIVAL series and should

noted and handled accordingly

Also a PERMANENT, ESSENTIAL and POTENTIALLY

ARCHIVAL series

This is an essential record and should have additional back up. It also has a long term retention

This series only has a 3 year retention, so can get rid of these files sooner

Another example

Public Works

Right of Way files are ESSENTIAL and

POTENTIALLY ARCHIVAL and should be tagged or

marked and handled accordingly

School Districts Instructor/Teacher

DAN # SD 51-13-01These records all have a retention of 6 years after

close of fiscal year.

Delete/destroy once retention has been met.

Course Description

DAN # SD 51-06A-19These records all have a

PERMANENT RETENTION

Tag for special treatment and work with IT to ensure

long term retention, accessibility, and

authenticity. Back-ups and security are a must!

Law Enforcement Case Files

State unique example

This series is ARCHIVAL - 9 year retention for agency, then transfer to archives

Can identify certain files as exempt or other special handling

Helpful hints

• Use existing retention schedules!• Consult with users, enlist their input• Work on keeping file names short and

simple, yet make sense to users• Keep it under 255 characters & spaces,

otherwise may have problems with access and retrieval

Retention Requirements of Agency Websites

Websites are Public Records

• Agency internet sites provide advice / information about the agency, its programs and services

• Made in connection with the transaction of public business (RCW 40.14.010)

• Internet sites are public records

Websites are Public Records

• Intranet sites provide advice / information about the agency’s polices, procedures, etc., to employees

• Made in connection with the transaction of public business (RCW 40.14.010)

• Intranet sites are public records

Retention Requirements

1. All state and local agencies must retain all web content in accordance with the approved retention schedules

(WAC 434-662-140)

2. Electronic records must be retained in electronic format and remain useable, searchable, retrievable and authentic for the length of the designated retention period

(WAC 434-662-040)

Applying Retention to Agency Websites

Records Retention - Three areas

1. Website Design/Architecture

2. Website Content

3. Changes to Website Content

Website Design / Architecture

• Records documenting the technical design and structure of website

• Includes connection between the website and other databases and applications

• Webpage style templates

Website Design / Architecture

• Local agencies use:Local Government Common Records Retention Schedule (CORE)

Applications – Technical Design and Implementation (GS50-06A-03)“Retain until application or version is no longer needed for agency business and all records within the application have been migrated or dispositioned in accordance with a current approved records retention schedule; then Destroy”

Content

• Typically, website content falls into 3 main categories:

1. Database-Driven Content

2. Secondary Copies of Other Public Records

3. Advice / Information

Content – Database-Driven

• Website content which resides in agency databases:– Pulled from database to provide dynamic

content for targeted audiences (e.g. location of nearest office based on zip code or IP address)

– Captured into databases via agency website (e.g. webforms)

Content – Database-Driven

• How to apply retention:– Manage the record within the database as the

agency’s primary copy– Use appropriate record series based on the

function and content of the record– Records documenting the rules governing

database / website interaction are covered by website design

Content – Secondary Copies

• Some content is just copies of other records of the agency, such as:– Annual reports, strategic plans, polices, etc

– Brochures, flyers, etc

– Forms (other than web forms)


• How to apply retention:

– Manage the agency’s primary copy– Use appropriate record series based on the

function and content of the record

– Treat web version as secondary copy


• Local agencies use:

Local Government Common Records Retention Schedule (CORE)

Secondary (Duplicate) Copies (GS50-02-04)

“Retain until no longer needed for agency business then Destroy”

Content – Advice / Information

• Actual advice / information about the agency, its programs and services not duplicated elsewhere in the agency’s records

Content – Advice / Information

• Apply the same retention to these content records that you would apply if you provided the same advice / information by letter or email to everyone in your agency’s jurisdiction

• Remember, you are providing that advice everyday that it is on your website

Why Document Changes

• It is not enough to just know what you said (the content)

• Agencies also need records documenting when did we say it and when did we stop saying it (the context to the content)

Changes to Content

• The tools / techniques to capture records of changes to website content depend on:

– Size and complexity of website / agency

– Level of risk associated with the content

Changes to Content

• Tools / techniques can range from:

– Content Management Systems (CMS)

down to

– Series of email exchanges between content author and agency webmaster

Changes to Content

• Local agencies use:

Local Government Common Records Retention Schedule (CORE)

Online Content Management (GS2010-007)

“Retain for 1 year after online content removed then Destroy”

Applying Retention to Web 2.0 Content

Do you?

Blogs, Wikis, Twitter, and emerging “technology du jour”

Five key considerations:1. Are they public records?

2. Are they primary or secondary copies?

3. How long do they need to be kept?

4. How will they be retained by the agency?

5. Is this technology appropriate?

Points to ponder

Ask some questions:• Make a business case – do you really

need to add another “technology du jour”?• Check with legal counsel• Check out terms of service agreements

Who is minding the store?

Establish rules and responsibilities:• Monitoring site and any TOS changes• Monitoring security• Who can post?• Who can make changes to content?• Who needs to capture and maintain?

Tips and hints to aid retention

• Series of email exchanges on content, when posted, when withdrawn, updates, etc.

• 3rd party software or content management systems

TwInboxTweetTakeArchiveFacebookSocialSafe

Washington State Archives Digital Archives

MOVING E-RECORDS INTO THE FUTURE

Introduction to theDigital Archives

• Opened in 2004 in Cheney, WA

2005 3.5 million records

2006 6 million records

2010 92 million records

Digital Archives Value

1. Access and convenience

2. Reduce agency workload

3. Limited business resumption

4. Digital Archives migration strategy

It is the State Archivist’s duty to “centralize the archives of the state of Washington, to make them available for reference and scholarship, and to ensure their proper preservation.”

RCW 40.14.020

Benefits of centralization






• Connects users directly with records; reduces need for staff to facilitate access

• Reduces need for microfilm searches and reproductions

• Avoids cost of hardware and software obsolescence

• Use of DA resources and staff






Agency’s access to confidential and non-confidential records through password-protected website.





4. Digital Archives migration strategy• In-house architecture

and migration strategy• As needed for

technology obsolescence

Transferring Your Records

Part 1: Set up Record Series in Digital Archives system

Part 2: Self-service records transfers to Digital Archives

Transferring Your RecordsPart 1: Set Up Record Series

1. Consultation

2. Transmittal Agreement (TA)

3. Transfer Information Plan (TIP)

4. Transfer

5. Ingestion

Information Gathered:• Identify Record Series• Identify File Formats• Identify Recording System


1. Consultation



4. Transfer

5. Ingestion


1. Consultation



4. Transfer

5. Ingestion

• “ArchiveThis!” transfer tool

• Hard Drive for large initial transfers (>100 GB)


1. Consultation



4. Transfer

5. Backup and Ingestion

• Verify security• Create report• Copy data to backup• Byte count• Store security copy• Ingest

Transferring Your RecordsPart 2: Self-Service Transfers

1. Tools

2. Order Fulfillment

3. Support

• “ArchiveThis!” transfer tool

• Password-protected access to your records


1. Tools


3. Support

• Certified copy orders


1. Tools


3. Support• Digital Archives staff

• Electronic Records Management Consultant for your region

Transferring Your RecordsBiggest Challenge

Biggest challenge to the Digital Archives: Multiple proprietary formats!

When purchasing an electronic records management system, please let your vendor know that the Digital Archives has an acceptable data export format. We will be glad to work with your vendor so that we can preserve your records.

Our Services Tabwww.digitalarchives.wa.gov

Contacts and Website

Debbie Bahn, Lead Archivist(509) 235-7500 ext. [email protected]

June Timmons, Chief Applications Architect(509) 235-7500 ext. [email protected]

Scott Sackett, Electronic Records Management Consultant, E. WA(509) [email protected]

Washington State Archives, Digital Archiveswww.digitalarchives.wa.gov

In conclusion…

Explore available options, and adapt them to best serve agency needs and usage

– Establish policies, procedures, ground rules– Take time to fully develop file structures and

plans as a foundation– Use appropriate tools for the job– Keep it as simple as possible– Training…and patience – chocolate helps too!

Questions?Leslie Koziara (Western WA)

Scott Sackett (Eastern WA)

Electronic Records Management Consultants

[email protected] [email protected]

(509) 413-3296 (360) 586-4893

Records Management Program, Olympia

[email protected]

Subscribe to listserv for the latest updates

http://www.sos.wa.gov/archives/

RecordsManagement/records_local.aspx

Washington State Archives: Partners in preservation and access

www.sos.wa.gov/archives

Thank You!