1. 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
ERM- Washington State Archives

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

3. WHY DOES IT SEEM SO HARD?

4. 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….

5. National Archives (NARA)
Bulletin
“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.”

6. Preservation and destruction of public records
Chapter 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”

7. 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, ??

8. 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

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

10. 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

11. Time Travel
Creating records in 1982

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

13. 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.

14. 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.

15. 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.

16. WHAT IS A RECORD? Quiz #3
You come back to your desk following lunch and your computer indicates that you have two 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

17. 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

18. 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

19. 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

20. 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

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

22. 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

23. 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

24. 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!

25. 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 ?

27. Oops
Intel, March 2007
A U.S. Federal judge gives Intel 30 days to recover about 1,000 s lost or missing that they were required to keep during a litigation hold
Their internal 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

28. What about public disclosure? I’m just asking…

29. Public Disclosure Governed by the Public Records Act (RCW 42.56)
Broader definition of “public records”
Responsibility of the Attorney General’s Office

30. 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

31. 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”

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

33. 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 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.

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

35. 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

36. 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

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

38. 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

39. 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

40. 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

41. 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

42. 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!

43. Get to know your retention schedules
and
General Records
Retention Schedules

44. 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!

45. 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

46. 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

47. 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

48. 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

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

50. 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

51. 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

52. Unique Series
DAN “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 “Body Donation and Cadaver File – Protected Parts” is a unique records series for Washington State University.

53. 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)

54. 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

55. GS 03 Human Resources

56. Local Gov’t CORE

57. State Unique

58. 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

59. Too much information!
SERVER!

60. 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?

61. 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 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!

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

63. 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!

64. 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

65. A brief word on metadata

66. 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

67. 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

68. For example
Leaping Lizards! What About Those s?

69. 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

70. 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

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

72. You’ve got records NOW WHAT?

73. “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)

75. 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

76. 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

77. 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
Social Media, texting, IM, cell phones, emerging technologies
ERM- Washington State Archives

78. A resource for policies
Municipal Resource Service Center:

79. 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

80. 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)

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

82. 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

83. 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!

84. 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

85. GENERAL RECOMMENDATIONS FORMAT
Required to save electronic records in an electronic format (native is best if possible) WAC
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

86. 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)

87. When using email – just a note
Educate users when drafting s 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

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

89. Your agency What should I be doing?

90. Everyone is so busy!

91. Inside a desktop
Black hole

92. 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)

93. 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

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

95. A winning strategy for electronic records
Identify
Organize
Disposition

96. 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

97. 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

98. 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

99. 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

100. 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

101. Setting it up
Can be individual “drawers” – working files set up in 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

102. 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

103. 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! s & Electronic Records Management

104. File tree
Can add other
records series

105. Local Gov’t CORE

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

107. 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

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

109. GS22005

110. 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

111. 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

112. 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

113. 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

114. 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

115. 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 folders

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

117. E-mail regarding meeting room contract
“Saved As”
regarding meeting room contract
Use the .msg extension, it can saves record copy
s 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

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

119. One place, one folder, one retention
BBy using the .msg extention, you are able to save s 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!

120. 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

121. 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

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

124. 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! s & Electronic Records Management

126. 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! s & Electronic Records Management

127. How would you build it?

128. 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

129. 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?

130. 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

131. 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?

132. 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

133. 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
confirmations/webmaster
Change logs/audit logs
Maintaining entire site
3rd party software for ECM

134. 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?

135. 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

136. Do you?

137. Use of Social Media

138. 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?

139. 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

140. 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

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

142. 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

143. 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?

144. 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

145. 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

146. 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 (
ARMA ( National, regional, & local

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

148. Archiving Electronic Records Using the Digital Archives

149. 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!

150. 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

151. 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

152. Search Digital Archives
Spokane County -1905

153. 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

154. 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

155. 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! s & Electronic Records Management

156. Local Government example

157. 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

158. 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

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

160. Modern Records Storage Digital Archives Racks
million records
million records
million records

161. 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

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

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

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

165. 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)

166. 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

167. 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

168. 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

169. 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

170. Our New Services Tab

171. YOU ARE NOT ALONE Contact us:
Subscribe to listserv:
Click on either local or state government link
ERM- Washington State Archives

172. Washington State Archives: Partners in preservation and access.
Records Rule! Thank you!
Washington State Archives:
Partners in preservation and access.