Washington State Archives Presented by: Leslie Koziara Electronic Records Management Consultant, Western Washington Electronic Records Management: Improving Your Outlook

Requirements for Electronic Public Records Requirements and Guidelines (by format) –Scanned /Digitized Documents – –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 RCW) For public disclosure, refer to Chapter 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 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. s) 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 records? For paper records, can I “scan and toss”?

Public Disclosure Who Can Help? Tim Ford Open Government Ombudsman Office of the Attorney General

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 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 )

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

Identify Using 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 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 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, , 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 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 s and other electronic records

Within application How it works Individual users move s 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 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 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 server How it works Designated shared drive or server is used as centralized “file cabinet” or repository Users save their s 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 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 copy s 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 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 category can 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 These 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-19 These 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 ) 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 ) 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 ) 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 )

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)

Content – Secondary Copies 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

Content – Secondary Copies Local agencies use: Local Government Common Records Retention Schedule (CORE) Secondary (Duplicate) Copies (GS ) “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 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 exchanges between content author and agency webmaster

Changes to Content Local agencies use: Local Government Common Records Retention Schedule (CORE) Online Content Management (GS ) “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 exchanges on content, when posted, when withdrawn, updates, etc. 3 rd party software or content management systems TwInbox TweetTake ArchiveFacebook SocialSafe

Washington State Archives Digital Archives MOVING E-RECORDS INTO THE FUTURE

Introduction to the Digital Archives Opened in 2004 in Cheney, WA million records million records 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 Benefits of centralization

Digital Archives Value 1. Access and convenience 2. Reduce agency workload 3. Limited business resumption 4. Digital Archives migration strategy 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

Digital Archives Value 1. Access and convenience 2. Reduce agency workload 3. Limited business resumption 4. Digital Archives migration strategy Agency’s access to confidential and non- confidential records through password- protected website.

Digital Archives Value 1. Access and convenience 2. Reduce agency workload 3. Limited business resumption 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 Records Part 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

Transferring Your Records Part 1: Set Up Record Series 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer 5. Ingestion

Transferring Your Records Part 1: Set Up Record Series 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer 5. Ingestion

Transferring Your Records Part 1: Set Up Record Series 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer 5. Ingestion “ArchiveThis!” transfer tool Hard Drive for large initial transfers (>100 GB)

Transferring Your Records Part 1: Set Up Record Series 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer 5. Backup and Ingestion Verify security Create report Copy data to backup Byte count Store security copy Ingest

Transferring Your Records Part 2: Self-Service Transfers 1.Tools 2.Order Fulfillment 3.Support “ArchiveThis!” transfer tool Password-protected access to your records

Transferring Your Records Part 2: Self-Service Transfers 1.Tools 2.Order Fulfillment 3.Support Certified copy orders

Transferring Your Records Part 2: Self-Service Transfers 1.Tools 2.Order Fulfillment 3.Support Digital Archives staff Electronic Records Management Consultant for your region

Transferring Your Records Biggest 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 Tab

Contacts and Website Debbie Bahn, Lead Archivist (509) ext. 207 June Timmons, Chief Applications Architect (509) ext. 202 Scott Sackett, Electronic Records Management Consultant, E. WA (509) Washington State Archives, Digital Archives

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 (509) (360) Records Management Program, Olympia Subscribe to listserv for the latest updates RecordsManagement/records_local.aspx

Washington State Archives: Partners in preservation and access Thank You!