1. Washington State Archives Presented by: Leslie Koziara, ERMP - Records Consultant Cowlitz County February 11, 2010 Electronic Records Management “What should I be doing?”

2. What is a record, really? Do I have to keep everything? How to organize and manage electronic records Overview

3. “ Public records include any paper, correspondence, completed form, bound record book, photograph, film, sound recording, map, drawing, machine-readable material, compact disc meeting current industry ISO specifications, or other document, regardless of physical form or characteristics, and including such copies thereof, that have been made by or received by any agency of the state of Washington in connection with the transaction of public business” RCW 40.14 Preservation and Destruction of Public Records

4. Two Key Points “regardless of media or format…” “made or received in connection with the transaction of public business…”

5. 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

6. WHAT IS A RECORD? QUIZ # 2 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

7. You come back to your desk following lunch and your computer indicates that you have two email 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 # 3

8. 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 # 4

9. 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

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

11. Records with little or no retention value “FYI” or information requiring no action Social, meeting or announcement type of notices i.e. potluck notices, cookies in the break room, retirement party, carpooling Personal messages and “chit-chat” Spam and junk mail Get rid of it as soon as you can!

12. Official or record copies When does a document become an “official” record? –The moment you begin typing? –Need email approval? –Other electronic means? –Requires hard copy signature?

13. Primary copy For retention purposes, only one copy of the record needs to be kept and retained according to the appropriate retention schedule This is the copy that an agency is to keep for the minimum required period as outlined in records retention schedules

14. Finders keepers Who is the record or primary copy holder? Is someone else keeping this message? –How many people were cc’d? –Does this record already exist in your office’s official files? – Another department or section? Having policies and procedures in place will help determine responsibilities for retention

15. What about public disclosure?

16. Records Management Supports Public Disclosure Organizing and knowing what you have helps you find responsive materials Applying disposition reduces the volume to be searched and reviewed for e-discovery Any archival records transferred to Washington State Archives becomes our responsibility

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

18. “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) RECORDS MANAGEMENT

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

20. 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 ongoing operations of agency

21. Records Retention in a Nutshell... Agencies are required to: 1.Retain all public records for the minimum retention period as listed on the approved Records Retention Schedule – regardless of format – it’s the content and function that drives retention! 2.Continue to retain or transfer to Washington State Archives all archival records

22. What should I be doing? Your Agency’s Records Management Program

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

24. Just a reminder…. 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!

26. Have a policy & procedures Some items to include in your policy: Address legal requirements Roles and responsibilities Incorporate appropriate use Fundamentals of records management Make sure all media is covered, not just emails! –Other electronic communications (texting, IM, cell phone, voice mail, blogs, wikis, Twitter)

27. Follow up! A formal policy that is not adhered to is a greater liability than no policy at all Make sure users are educated and trained in the use of the policy and procedures Do periodic compliance checks

28. Do an inventory Know what you have and where it is: Who has records What are the records Where are the records Why are those records there How to manage

29. Where are my records? You need to know where your records are: –Where are the paper records? –Where are the electronic records? –Who has what email records? –Are there records anywhere else? (websites, blogs, wikis, social networks, etc)

30. 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

31. Classify it! Classification scheme Often called taxonomies, classification, file plan, file structure, or a records series, it’s grouping information or types or records together Makes it easier to manage as a group for retention and disposition Provides a consistent, systematic method for organization that everyone can use

32. For example Permits Building Permits 2009 Building Permits Building Specific Address Grouping information together by records series makes it easier to file, search and apply retention and disposition

33. Don’t agonize, organize! Get to know your retention schedules Schedules tell you what to do What records need to be kept – by series Minimum required period of time to keep them What to do once retention has been met Any remarks or special instructions

34. Does your office look like this?

35. How about your desktop? Black hole

36. What technologies were in common use in the typical office in 1982? Time Travel

37. “Technology du jour” Current trend will probably not outlive the records being created Need to prepare for next generation of users and technologies The technology used is not the record, the content and function is what matters

38. 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 when more time is spent searching for information What does an attorney or forensic consultant charge per hour? What is your time worth?

39. Why keep it if you don’t have to? 1 GB of storage is cheap, litigation is NOT There are increased costs for: –Administration/staff for maintenance –Migration or recopying –Disaster recovery/restoration –Energy costs

40. A brief word on metadata

41. 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 –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

42. Supports authenticity A complete electronic record contains sufficient metadata exists to prove: It 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

43. For example

44. Electronic file cabinets Think electronic “file cabinets” Desktops and servers are digital “file cabinets” and can be used as such Just like traditional metal cabinets were used for paper

45. Setting up the structure Can be as individual “drawers” – working files set up in email 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 a central repository for longer retention

46. Create 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 plan or structure for paper, email, desktop, network drives and servers

47. When using email Just a note Educate users when drafting emails to provide context by using subject line when drafting messages, and be sure to change subject line if content and context changes during exchange Easier to determine content and subject without opening, easier to manage and search

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

49. “Filing” emails – within email application How it works Individual users move e-mails into pre- determined folders that match those on server or shared drive Good to set up as “working files”, or for records with no retention value Recommend “records with retention value” be retained on drives or servers

50. GS22005

51. Next level Additional folders can be set up to further define the content – easy to locate and search, still all under DAN # GS 22005 Mirror this structure on shared drive or server for records with retention value Be diligent with cleaning out records with no retention value in these “working files” and save primary copies to shared drive

52. Using email application folders Remember: Recommended use is for short-term or temporary retention Mirror folders you set up on network server or shared drive Match up to retention schedules Use alternative methods for longer term retention needs

53. “Filing” records 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 e-records into pre- determined folders in specific “drawers” Users can retrieve and move at will Generally no active retention or disposition applied, will need to have IT set up methods for retention (tags, flags, etc)

54. In addition Centralization makes good sense –In event of staff turnover, other “life happens” scenarios Increased search capability for discovery and disclosure purposes Can apply retention and disposition to stored records, can appoint system administrator to manage

55. Can look like this Create file “drawers” and create appropriate folders in a server or shared drive “electronic file cabinet” Marry up with appropriate retention schedules and mirror pre-set email folders Conferences & Seminars GS22005

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

57. “Saved As” email By using the.msg extension, it can saves record copy emails electronically and preserve the metadata as well – also will save attachments Using classifications and naming conventions make it easier to search and locate the information Email regarding meeting room contract

58. Email saved using.msg extention in server along with other formats Drag and drop

59. 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 instead of bits and bytes One place, one folder, one retention Get rid of the silos!

60. Local Gov’t CORE

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

62. Local Gov’t CORE

63. More examples Additional file folders can be created as necessary under each record series Additional records series under a category can be added

67. This is an essential record and should tagged accordingly This is a PERMANENT, ESSENTIAL and POTENTIALLY ARCHIVAL series and should be tagged or marked and handled accordingly Also a PERMANENT, ESSENTIAL and POTENTIALLY ARCHIVAL series

70. Right of Way files are ESSENTIAL and POTENTIALLY ARCHIVAL and should be tagged or marked and handled accordingly

71. 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

72. Content and function determines retention What purpose does the website perform? Provide communication that already exists in a different format? Secondary copies? Is there an exchange of information via the website? Financial or information transactions? Advice to the public on various subjects & topics? It’s all about the record, not the technology Websites

73. Website Spidering Digital archives will … copy state and local government web sites that are determined to have archival value either annually or more frequently. (WAC 434-662-140) Archival snapshots. May not satisfy all legal and other requirements to retain records of websites.

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

75. 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 3 rd party software for ECM

76. What about databases? Apply same principles –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?

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

78. Blogs, Wikis, Twitter and more! Five key considerations for posts and comments on social networking sites: 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?

79. 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

80. 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

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

82. 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

83. 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?

84. 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

85. Take a deep breath No magic one-size-fits all solution Fixing it will not happen overnight Acceptance will take time It can be done without investing in additional technology You can do it!!

86. Plan of action Appoint a Records Officer/Manager Sign up for RM listserv Contact us for list of unique schedules and holdings (records center and archives) Attend RM trainings Discontinue any uniques covered by General Schedules Update and revise existing schedules to meet current business needs and changes

87. More planning and action items Do an inventory –Locate archival records –Locate essential records –Get rid of records that have met retention Develop file plans based on records retention schedules Take another deep breath, train and educate, and implement your plan!

88. You Are Not Alone For advice and assistance: recordsmanagement@secstate.wa.gov Subscribe to listserv for the latest in updates http://www.secstate.wa.gov/archives/RecordsManagement/

89. Washington State Archives: Partners in preservation and access www.secstate.wa.gov/archives Thank You!