Electronic Records Management “What Should I Be Doing?” Washington State Archives Electronic Records Management “What Should I Be Doing?” Presented by: Leslie Koziara Electronic Records Management Consultant leslie.koziara@sos.wa.gov ERM- Washington State Archives

Early records management The most permanent media available was used to record history Early text messages

WHY DOES IT SEEM SO HARD?

Office? What office? The line between work and personal time has blended or gone completely 24/7 access to information Telecommuting Attend meetings without being present PDA’s, cell phones, laptops and….

National Archives (NARA) Bulletin 2008-05 “Federal organizations should not rely on the technology alone…. use them in conjunction with established records management policies and procedures………..employees must be trained in the policies, procedures and proper use of the technology.”

Preservation and destruction of public records Chapter 40.14 RCW (1957) Preservation and destruction of public records “…regardless of physical form or characteristics, and including such copies thereof, that have been made or received by any agency of the state of Washington in connection with the transaction of public business”

There are electronic records that are now extinct and gone forever Governor Gardner’s administrative files (Wang system, erased) Governor Spellman’s reports and letters (Mag Cards, unreadable) GIS, databases, legacy systems, ??

On the endangered list How many floppy disks, CD’s, tapes, DVD’s, or other soon to be obsolete media may contain records of importance that are not well preserved and are now unreadable, inaccessible – and gone? ERM- Washington State Archives

So, what exactly is a record So, what exactly is a record? A record is a record, regardless of format ERM- Washington State Archives

Content and Function It is the CONTENT and FUNCTION that determines a record – regardless of it being paper, carved on a stone tablet, written on a cocktail napkin, in an electronic device, or whatever media contains the information

Time Travel Creating records in 1982

Regardless of format – and the list keeps getting longer Regardless of format – and the list keeps getting longer! ELECTRONIC RECORD (Chapter 19.34 RCW) A record generated, communicated, received or stored by electronic means. E-mail & attachments Websites Databases Text Messaging Instant Messaging Voice mail (can now be converted to e-mail) Digital photos Scanned documents Outlook calendars Handheld devices (PDA’s) Spreadsheets Word documents Wiki’s, Blogs, Twitter ERM- Washington State Archives

Agencies are required to: In Washington State… Agencies are required to: Keep public records for the required minimum period of time as outlined in approved records retention schedules Once retention has been met, destroy or transfer to Washington State Archives in accordance to approved schedules.

WHAT IS A RECORD? Quiz #1 State Patrol is called to the scene of an accident. The patrol officer takes a digital photo of the car involved. Is this photo a public record? □ Yes □ No When test is completed by participants – review answers. http://www.secstate.wa.gov/archives

WHAT IS A RECORD? Quiz #2 Is this a public record? □ Yes □ No In your desk drawer, you have a copy of the contents of your personnel file. It contains duplicates of your application, training taken, awards received, etc. Is this a public record? □ Yes □ No When test is completed by participants – review answers. http://www.secstate.wa.gov/archives

WHAT IS A RECORD? Quiz #3 You come back to your desk following lunch and your computer indicates that you have two e-mail messages waiting for you. A.) One message is from the assistant director requesting shared leave for an employee on extended sick leave. B.) The other message is from your boss, giving you the agreed-upon timelines and goals for an upcoming project. Which message is a public record? □ A only □ B only □ Both A and B □ Neither A nor B

WHAT IS A RECORD? Quiz #4 Is this a public record? □ Yes □ No While cleaning out the shelves in your office, you come across a 1994 copy of the Idaho Toxic Spill report. Is this a public record? □ Yes □ No

WHAT IS A RECORD? Quiz # 5 Your agency has a web blog and has invited public comment on a controversial issue. Is this a public record? □ Yes □ No

Technology du jour Technology is just the method used to create a record, it is not the record The media will probably not outlive the record, so need to consider access/ retention for future needs Plan for next generation of users ERM- Washington State Archives

Primary or record copy Only one copy of the record needs to be kept and retained according to the appropriate retention schedule Policies and decisions and conversations need to happen regarding who is the primary copy holder and responsible for the retention and disposition of the record

Official or record copies When does the official copy become “official”? When you open the application? E-mail approval? Other electronic means? Digital Signatures Requires hard copy signature?

Is someone else keeping this message? Finders keepers? Who is the record or primary copy holder? Is someone else keeping this message? Who would be the official “record keeper”? How many people were cc’d? Does this record already exist in your office’s official files? Another department or section? There may be times when two “record” copies (both sides) will be kept in order to complete the documentation of actions ERM- Washington State Archives

Content matters Policies, significant decisions, commitments, or important meetings Messages that facilitate or document actions affecting the conduct of business Requests or provides substantive information If content protects rights – legal, fiscal, property, other

Records with little or no retention value Content is not substantive in nature: “FYI” or information requiring no action Social, meeting or announcement type of notices i.e. potluck notices, cookies in the break room announcements Personal messages and “chit-chat” Spam and junk mail Get rid of it as soon as you can!

Prove it If you have to substantiate a decision, action, policy, financial transaction, proof of ownership, etc… What would you need to provide as evidence ?

Oops Intel, March 2007 A U.S. Federal judge gives Intel 30 days to recover about 1,000 e-mails lost or missing that they were required to keep during a litigation hold Their internal e-mail archiving system apparently was not informed of the hold, auto delete happened As of October 2007, $20 million dollars has been spent on attempts to retrieve data As of February 2009, $116 million spent on legal representation ERM- Washington State Archives

What about public disclosure? I’m just asking… http://www.secstate.wa.gov/archives

Public Disclosure Governed by the Public Records Act (RCW 42.56) Broader definition of “public records” Responsibility of the Attorney General’s Office http://www.secstate.wa.gov/archives

How Records Management Helps with Public Disclosure Organizing and knowing what you have helps you find all responsive information Applying disposition reduces the volume needed to be searched and produced Requests for archival records transferred to Washington State Archives becomes our responsibility http://www.secstate.wa.gov/archives

Hold it! A litigation hold means everything must be kept, regardless of retention & disposition until case is resolved Remember Intel? Also must keep information if there is “reasonable anticipation of lawsuit”

Public Disclosure Who Can Help? Tim Ford Open Government Ombudsman Office of the Attorney General www.atg.wa.gov/OpenGovernment/Ombudsman.aspx http://www.secstate.wa.gov/archives

RECORDS MANAGEMENT “The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records” Citation: ISO 15489: 2001 (International Standard for Records Management) All public records are required to be maintained and disposed of by state agencies in accordance with the provisions of chapter 40.14 RCW (the Preservation and Destruction of Public Records) as stated in the State Government Agencies General Retention Schedule. A retention schedule (general records schedule/records retention schedule) is a document that identifies and describes an organization's records, usually at the series level, and provides instructions for the disposition of records throughout their life cycle. http://www.secstate.wa.gov/archives

“Should it stay, or should it go?” Also known as… “Should it stay, or should it go?”

Records and information are an agency’s most important assets While ordinary and mundane to most, records are a vital necessity People come and go Records provide the continuity for the continued operations of business

Benefits of Records Management Promotes effective business practices Promotes efficient use of resources, reduces costs Supports compliance and cost savings in audits/discovery/disclosure issues

Records Management is a TEAM SPORT! Everyone has a responsibility towards the creation and use of public records It takes teamwork!

Successful organization and control is a 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

Tell me why Is it important to know why a record is created? Is it important to know how often you may use or access a record? Is it important to know how long you need to keep a record? Is it important to know when you may legally dispose or transfer a record? ERM- Washington State Archives

Get to know your records Doing a records inventory will help you determine: Who has records What are the records Where are the records Why are those records there How to manage those records

Do you know where your records are? Spend a few minutes and chat with users – don’t just throw this form at them and ask they fill it out, explain the purpose and offer to sit with them for a few minutes and go over it. ERM- Washington State Archives

Draw a map By drawing a map you can “at a glance” know where records are kept. You can create a “data” map, drawing servers etc and labeling what data is kept where along with the tradition methods of retention and storage. Really helpful in event of disclosure/discovery!

Get to know your retention schedules and General Records Retention Schedules

What is a retention schedule? A retention schedule outlines the specifics for the preservation and destruction for public records Retention schedules tell you what to do!

Ongoing authority An approved legal document that specifies minimum retention periods for a record series and outlines the disposition of the record after retention is met

Who or what is DAN? DISPOSITION AUTHORITY NUMBER Each record series is issued a “DAN” A unique number used to identify the specific record series in a approved schedule and gives agencies ongoing LEGAL authority for disposition

RECORD SERIES As defined in WAC 434-663-270: “A group of records that are created, used, filed, and disposed of as a unit because they relate to a particular…function, result from the same activity, or document a specific kind of transaction.” It is easier to manage items as a group instead of single entities ERM- Washington State Archives

Classification Grouping information together Cars, food, clothing Content and function Based on an organization’s business functions and activities A record series in the retention schedules classifies information

For example Permits Building Permits 2008 Building Permits Specific Address/Site Grouping information together makes it easier to file, search and manage!

There’s a series for it The state and the local government general schedules contain hundreds of records series held in common by agencies Unique schedules can also be submitted and approved for use

General Schedules GS 03030 “Attendance and Leave Records” is a records series from the State General Schedule GS 50-03A-30 “Vouchers” is a records series from the Local Government General Records Retention Schedule

Unique Series DAN 86-01-35890 “Smut-Free Straw Shipment” Provides a record of straw shipped out of the country that is certified to be smut free is a unique record series from the Washington State Department of Agriculture DAN 05-02-60802 “Body Donation and Cadaver File – Protected Parts” is a unique records series for Washington State University.

Retention Schedule in brief Record Series Title & Description (What the records are called and what’s in there) Retention Period (Minimum required for retaining information) Cut-off (Date or event that signals beginning of retention period) Disposition Authority # (DAN) Disposition Remarks and Archival Designation (Comments and if series is deemed archival, essential or can be destroyed)

Understanding Cut-offs (start of the retention) The cut-off date is the “trigger” or the official start of the retention period There are two general types of cut-offs Date (Calendar Year, Fiscal Year, End of Biennium, Monthly) Event (Termination of Employment, Termination of Contract, Until Superseded) Cut-off + Total Retention = Disposal Date Cutoff is the starting point to start counting the retention (Reference lifecycle - becomes inactive or goes into “retirement” & handout) TWO types: DATE = Monthly, End of Biennium, Calendar Year EVENT = Termination Of Employment; Building disposed of. You know your records best - pick an appropriate type of cutoff, either date or event (Schedule on wall) To get a disposal date for either type of cutoff: determine the actual calendar date of the cut off and add the retention time. Example: cutoff = Termination Of Employment. Employee terminates 8/31/99, add 7 years to the date - file can be disposed of 8/31/2006. ERM- Washington State Archives

GS 03 Human Resources

Local Gov’t CORE

State Unique

State General Schedule GS50 BEST SCHEDULE EVER Records with little or no retention value State General Schedule GS50 Local Gov’t CORE 50-02 Move to next slide of GS schedule http://www.secstate.wa.gov/archives

Too much information! SERVER!

Why not just keep it all? Consider this: Searching The more you have, the more you have to review and search through Think needle in a haystack.. less hay, easier to find the needle Discovery costs increase How much is your time worth? Your attorney?

Get rid of the clutter – it slows you down! Tips for control: Develop polices on primary & secondary copies, have conversations on who needs to keep what Use email less often, more face time Create filters, shared folders / spaces CC less people, only critical sharing What is a Record Series? KEY = information that’s related (same action or same subject) This records retention schedule documents the life cycle of a records series. This means: all books, papers, microforms, computer-readable materials, maps, photographs, film, video and sound recordings, or other documentary materials, regardless of physical form or characteristics, made or received by any agency in connection with the transaction of public business Records Series can be: Simple: Birth Certificates; Complex: Case Files and Personnel File Combined media types: may contain paper, electronic, photographed, imaged. Example: OFFENSE/INCIDENT REPORTS Investigation reports and notes; witnesses and suspects statements; results of chemical analysis and polygraph tests; crime scene information and photograph, citations. No matter what media types they must all be disposed of as a unit! http://www.secstate.wa.gov/archives

Get rid of the ROT! Redundant Outdated Trivial Too much information lingering in servers and desktops slows down the system and increases costs

Faster to find what you do need Use less, get more! Where are the savings? Less storage Less to search Less to migrate or recopy/convert Less to restore in the event of a disaster Faster to find what you do need What is a Record Series? KEY = information that’s related (same action or same subject) This records retention schedule documents the life cycle of a records series. This means: all books, papers, microforms, computer-readable materials, maps, photographs, film, video and sound recordings, or other documentary materials, regardless of physical form or characteristics, made or received by any agency in connection with the transaction of public business Records Series can be: Simple: Birth Certificates; Complex: Case Files and Personnel File Combined media types: may contain paper, electronic, photographed, imaged. Example: OFFENSE/INCIDENT REPORTS Investigation reports and notes; witnesses and suspects statements; results of chemical analysis and polygraph tests; crime scene information and photograph, citations. No matter what media types they must all be disposed of as a unit! http://www.secstate.wa.gov/archives

Compare the costs To purchase 1 GB of storage is cheap Litigation is NOT cheap To REVIEW 1 GB of storage for disclosure or discovery can be over $4,000.00 Time for staff, IT, attorney, forensic experts to compile, review and produce

A brief word on metadata

THE IMPORTANCE OF METADATA Descriptive information that facilitates management of, and access to, the objects being described – “data about the data” A means of describing: What is in the record Circumstances of creation and use – the 5 W’s Who, what, why, where, when Need to maintain metadata as part of complete record to establish authenticity, facilitate retrieval, and to understand the record’s context and relevance

Supports authenticity A complete electronic record contains sufficient metadata exists to prove that it is a record Is what it is – an authentic record Was created/sent by the person purported to have created/sent it Was created/sent at the time purported

For example   Leaping Lizards! What About Those E-mails?

Even to the end Metadata “stubs” provide evidence of the disposition process Act as a record of the destruction of electronic documents - “in-house destruction” document for compliance

Let’s play celebrity metadata Pick a celebrity Movies Sports Music Art Use key words to “file” that celebrity Use as an exercise to demonstrate how differently people think when it comes to filing – making the case for classification schemes or controlled vocabularies, naming conventions ERM- Washington State Archives

To err is human, but to really foul things up requires a computer. Farmer’s Almanac, 1978

You’ve got records NOW WHAT?

“Fasten your seat belts, it’s going to be a bumpy night” First recommendation “Fasten your seat belts, it’s going to be a bumpy night” All About Eve (1950)

Where do you start? Develop records management policies and procedures Get management support and buy-in Have training and education for users on records management

Proactive vs Reactive A policy is critical so that your employees know what to do – guidelines on the creation, use and care of public records and that everyone is on the same page Having a policy also offers some protection against liability in the event of legal action - agency can demonstrate “due diligence” and use of best practices

Drafting a policy Some items to include in your policy: Address legal requirements Roles and list of responsibilities Incorporate appropriate use Basics of records management Make sure all media is covered, not just email Social Media, texting, IM, cell phones, emerging technologies ERM- Washington State Archives

A resource for policies Municipal Resource Service Center: www.mrsc.org/subjects/infoserv/email.aspx

Compliance checks Policy alone is not enough, must also demonstrate compliance Periodic checks Develop desk guides and cheat sheets Education and training is critical to your success An ounce of prevention is worth thousands when it comes to lawsuits

Be sure to add a compliance statement Compliance: Compliance with this policy is mandatory for all departments, sections and every employee of this agency (THIS MEANS YOU - NO EXCEPTIONS)

And include education Include educational aspects – Reiterate proper and appropriate use of emails and electronic information Reasonable use New technologies (permission to use?) Records management fundamentals

Desk guides and cheat sheets To enable users to use and apply the policies, develop desk guides and “cheat sheets” for quick reference Hold training and make RM policy and procedures education mandatory for all employees

Let’s review… Decisions, decisions Keep only what you need to keep Determine who gets to keep it Keep entire record Transmission and receipt data Remember the metadata!

More decisions How many copies are being captured? How will you capture the record ? Storage – where & how & what format? Preserving functionality, accessibility, and authenticity “Delete” does not necessarily equal “destroy” ERM- Washington State Archives

GENERAL RECOMMENDATIONS FORMAT Required to save electronic records in an electronic format (native is best if possible) WAC 434-662 Recommend use of an open source file format: PDF (Portable Document Format) for formatted documents TIFF (Tagged Image File Format) or PNG (Portable Network Graphic) for images RTF (Rich Text Format) is okay if formatting not important to preserve the record’s authenticity XML (Extensible Markup Language) for data

GENERAL RECOMMENDATIONS STORAGE CDs not recommended for long term preservation Variation in quality of manufacture CD Rot NOT proven archival Recommend hard drives, preferably in a RAID (Redundant Array of Independent Disks) LTO (Linear Tape-Open) or DLT (Digital Linear Tape) or SDLT (Super Digital Linear Tape)

When using email – just a note Educate users when drafting e-mails to provide context by using subject line when drafting messages Easier to determine content and subject without opening, easier to manage and search Re-educate on appropriate use, cut down on volume

Just so you know…there is a difference E-mail Archiving Generally more “storage” rather than “records management” Typically lacks coherent filing structure Generally no records retention functionality included

Your agency What should I be doing? http://www.secstate.wa.gov/archives

Everyone is so busy!

Inside a desktop Black hole

Some options Can continue on as before (Probably not useful) Can invest in ECM (Can be expensive, need to think and plan ahead and get organized first, otherwise you are automating the same problems) Can go back to paper (Not likely)

There is no magic bullet There is currently no magic “one-size-fits-all” solution By implementing records management policies and best practices, you can manage information without investing in additional technology

Another option: Using what you already have Retention schedules Staff Desktops Servers You do not need to purchase additional technology tools to begin ERM!

A winning strategy for electronic records Identify Organize Disposition

Identify Essential Archival 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

Organize Using what you have Agencies already have established files for their paper records, use what has already been developed and adapt to “electronic” filing systems Retention schedules already exist Also serves as excellent preparation prior to implementing any automated processes

Disposition Organize to destroy Apply same retention and disposition practices to electronic records as you would paper based records Regularly schedule disposition to clear out those items having met retention and get rid of them Get rid of the ROT Redundant, Outdated and Trivial

Electronic Record Life Cycle CONSIDER CONTENT If NO retention value Delete Create or Receive Record Properly ID Record / Save DESTROY and document destruction When retention is met, ID records for destruction Non-Archival Keep until retention met If Archival Transfer Approve for destruction

Electronic file cabinets Think electronic “file cabinets” Your desktops and servers are like traditional metal cabinets, storage for your information Organize it just like you would a file drawer

Setting it up Can be individual “drawers” – working files set up in e-mail application Can be work group or section “file cabinets” – files sent to shared drive or server used by group Can be “central files” or “records center” – files sent to central storage or central repository

Develop a plan Using records series from approved retention schedules, you can build a file folder structure or “file plan” Use pre-determined folders, driven by retention and user needs Provides consistent structure for everyone Can be mirrored throughout

Attendance and Leave GS03030 Using what you have. Let’s take a look at how you can set up a file folder structure that can be used based on retention schedules. Attendance and leave records have a cut-off of “end of fiscal year” and have a 6 year retention. They are not an essential record nor do they have an archival designation. Leaping Lizards! E-mails & Electronic Records Management

File tree Can add other records series

Local Gov’t CORE

Another example Additional file folders can be created as necessary under record series Additional records series under a category can be added

Setting it up Keep it as simple as possible Classify information in groups Use existing retention schedules Implement “universal knowledge” Make it meaningful for your agency/users Consider present and future

Email How it works Good to set up as “working files”, or transitory little or no retention information Individual users move e-mails into pre-determined folders Records with longer retention are saved on shared drive or server

GS22005

Next level Additional folders can be set up to further define the content – under “Conferences and Seminars” specific folders are set up for different events – easy to locate and search, still all under DAN # GS 22005

Drill down as far as necessary, but keep it simple and easy to use Adapt as needed Drill down as far as necessary, but keep it simple and easy to use

Using e-mail application folders for filing Remember: Can match up to folders you set up on network server or shared drive Match up to retention schedules Again, recommended use is for short-term or temporary retention, use alternative methods for longer term retention and disposition

Filing in Shared Drive or Network How it works Designated shared drive or server is used as “repository” or dedicated storage Users save their electronic records into specified folders Users can retrieve and move at will Although additional security and controls may be added Can appoint an administrator

In addition Centralization makes good sense More effective in event of staff turnover, other “life happens” scenarios Increased search capability for discovery and disclosure Just be aware that active retention or disposition needs to be applied – manually or work with IT to set up tags, flags, methods of notification

Conferences & Seminars Can look like this Conferences & Seminars GS22005 Create file folders in a server or shared drive “electronic file cabinet” as appropriate on a dedicated shared drive or network Marry up with appropriate retention schedules and mirror pre-set e-mail folders

Click Create appropriate file “drawers” and create the folders as necessary in which to “file” your information – all of these are still GS 22005

E-mail regarding meeting room contract “Saved As” e-mail E-mail regarding meeting room contract Use the .msg extension, it can saves record copy e-mails electronically and preserve the metadata as well Using classifications and naming conventions make it easier to search and locate the information ERM- Washington State Archives

Email saved as .msg extention along with other formats in server – no more silos! Drag and drop

One place, one folder, one retention BBy using the .msg extention, you are able to save emails with all the other formats together in one folder, under one record series, under one retention and manage it as a whole One place, one folder, one retention Get rid of the silos!

Another example 25 year retention, cut-off is upon request approval As another example, on a designated shared drive there are folders for the “DAD” Destruction After Digitization Approval This is a unique schedule records series “Requests for Early Destruction of Source Documents 25 year retention, cut-off is upon request approval

Structure as necessary Folders are created under this unique series and used by staff for filing documents related to the approval process, and all are managed as a group according to the retention schedule Multiple users can use, distribute, file, locate, and search as necessary, and controls can be created regarding users access, security and for retention purposes

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

ANOTHER EXAMPLE - TAXES Using what you have. Let’s take a look at how you can set up a file folder structure that can be used either for hard copy or electronic files using retention schedules. Leaping Lizards! E-mails & Electronic Records Management

Financial Management - Taxes Using what you have. Let’s take a look at how you can set up a file folder structure that can be used either for hard copy or electronic files using retention schedules. Leaping Lizards! E-mails & Electronic Records Management

How would you build it?

File it! Once you have established your “electronic file cabinets”, users can click, drop & drag, or “save as” records into the appropriate files or folders in the designated “file cabinet” (server, drive, repository) Use desk guides, cheat sheets, other aids to help users

Websites It’s still all about the record Websites are another form of delivery or method of communication Does the website contain records that support the evidence or proof of business?

Content and function determines retention What about websites? Content and function determines retention Does website contain information that stays the same and doesn’t change or simply a repository for information kept elsewhere? Does website change often, offer information unavailable in other formats, perform transactions? (Evidence of business) The more dynamic and unique the website, the more important to retain functionality in what is captured and needs to be retained

More on websites Do those records reside somewhere else? Is the website the sole repository of that information? Is the website nothing more than a web based business card, few if any changes? What transactions does the website perform? Financial transactions? Information updates?

Websites continued… Have boundaries with websites: Keep only what you need to complete the record and agency responsibility Address INTRANET sites as well Be sure to include links as necessary Internal External

It depends on the website and what records are needing capture Capturing websites It depends on the website and what records are needing capture Options include: Snapshots Email confirmations/webmaster Change logs/audit logs Maintaining entire site 3rd party software for ECM

What about databases? Apply same principles as websites Content and function Is it a repository of information held elsewhere? Does it contain evidence of business transactions not found in another format? Is the database dynamic with continuous changes, updates?

It depends on the database and what records are needing capture Capturing databases It depends on the database and what records are needing capture Options include: Change logs/audit logs Maintaining entire database 3rd party software for ECM

Do you?

Use of Social Media

Blogs, Wikis, Twitter and more! Washington State Archives - July 2009 Blogs, Wikis, Twitter and more! Five key considerations for posts and comments on social networking sites: Are they public records? Are they primary or secondary copies? How long do they need to be kept? How will they be retained by the agency? Is this technology appropriate? http://www.secstate.wa.gov/archives

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 (TOS) agreements Amendments or codicils

TOS = Contract Indemnity issues Determine choice of court if any legal action Rights of company to edit/display/advertise Issues of assignment in the event of merger/acquisition Will use meet overarching regulations? FOIA, ADA, RCW’s, WAC’s

More issues Copyright and intellectual property rights Privacy, data gathering, data ownership 1st amendment concerns if public forum Identity “hijacking” Security

Also applies: Web 2.0 or “cloud” computing “SaaS – Software as a Service Facebook, MySpace, Flickr, any other social networks Other collaborative/shared workspaces hosted over the internet

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?

Several options Explore your options, and adapt to best serve your agency needs and resources Be sure policies, procedures, ground rules are established Keep it as simple as possible Take time to fully develop file structures and plans as a foundation Have patience, bring chocolate, and be sure to take time to train and educate users

It takes time and money.. King County – all agencies 2007 Pilot ERM 4.3 Million 2-4 years implementation Takes time to do groundwork, must have retention and disposition rules & filters done prior to any conversion

Resources Standards ISO 15489 (International) DoD5015.2 (U.S.) MoReq2 (Department of Defense - Revision April 2007) MoReq2 (European - Revision Spring 2008) DIRKS (Australian) Dublin Core Metadata Element Sets Professional Groups and Organizations AIIM (www.aiim.org) ARMA (www.arma.org) National, regional, & local

Providing Services for Government Archives – State and Regional Records Management Digital Archives Local Records Grants Program Imaging Services ERM- Washington State Archives

Archiving Electronic Records Using the Digital Archives

Archiving is our business Washington State Archives was established in 1957 and is a free service for government agencies to transfer archival records for preservation and protection of public records Digital Archives serves the same purpose for the preservation and protection of digital records – and it’s still free!

Preservation for the future Electronic Records Preservation WAC 434-662 Developed for the preservation of archival electronic records only, not for mass ingestion of non-archival electronic records Gives guidance on the process Transfer process for archival series electronic records to the Digital Archives

Memory Lane at the Digital Archives Collection of obsolete hardware and software Commodore, Tandy, Apple II Aldus, Wordstar, Intellidraw, Lotus 1-2-3 Reels, punch cards, 8 &12” floppies

Search Digital Archives Spokane County -1905

What does archival mean? Having enduring historical, legal, or fiscal value and are to be kept forever. Here are some examples: Vital records – birth, marriage, divorce, death Property deeds Minutes and resolutions Elected officials and executive level records Court records Legislative records

Where do I find out if my record is archival or not? Approved records retention schedules indicate which record series are archival or have other designations

Executive Level Subject Files GS10003 Again, when the cut-off is listed as “date of document” is it easier to set up and use retention and disposition by year using the year noted of the latest date of document in the file instead of using the actual “date of document”. Leaping Lizards! E-mails & Electronic Records Management

Local Government example

Website Archiving Digital Archives will spider websites to be archived for historical enduring value as the provide a historical snapshot of the evolution of state business/history Agencies are still responsible for retaining archival designated websites/content

April 11, 2008 What about the costs? Requirements to manage and preserve public records have existed since 1957 (RCW 40.14) Digitization did not change RCW 40.14 Costs associated with keeping electronic records are already being imposed on agencies Public disclosure (FOIA) Discovery (Federal Rules of Civil Procedure) ERM- Washington State Archives

What the Digital Archives Is Not Mass storage for active business applications and data Remote backup for state and local government networks and data

Modern Records Storage Digital Archives Racks 2005 3.5 million records 2006 6 million records 2010 85 million records

Transferring Your Records Information Gathered: Identify Record Series Identify File Formats Identify Recording System 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer Methods 5. Ingestion 6. Access 161

Transferring Your Records 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer Methods 5. Ingestion 6. Access 162

Transmittal Agreement (TA) Agency information Agreement to transfer data Scope of work

Transferring Your Records 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer Methods 5. Ingestion 6. Access 164

Open your “savings account” Identify record series/DAN number Access - any restrictions? Chain of custody Technical information Formats Size – how many bytes, gigs? Access for ingestion purposes Indexing/search criteria Set up account for copy charges/revenue (If applicable)

Transferring Your Records 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer Methods 5. Ingestion 6. Access Options: Hard Drive ‘Archive This’ Secure File Transfer Protocol (SFTP) Tool 166

Transferring Your Records 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer Methods 5. Backup and Ingestion 6. Access Verify security Create report Copy data to backup Byte count Store security copy Ingest 167

Transferring Your Records 1. Consultation 2. Transmittal Agreement (TA) 3. Transfer Information Plan (TIP) 4. Transfer Methods 5. Ingestion 6. Access Access Tools: Search Description Holding Electronic Records Tank (HERT) 168

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. 169

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Washington State Archives: Partners in preservation and access. Records Rule! Thank you! Washington State Archives: Partners in preservation and access. www.sos.wa.gov/archives