Washington State Archives
Presented by:
Leslie Koziara
Electronic Records Management Consultant, Western Washington
Electronic Records Management: Improving Your Outlook
• Requirements for Electronic Public Records
• Requirements and Guidelines (by format)– Scanned /Digitized Documents– Email– Websites– Web 2.0
• The Digital Archives
Overview
As public employees, everyone needs to have a level of responsibility for the public
records they create and use
Records Management is a team sport!
What is a Public Record?
• For the purposes of retention and destruction, two criteria:1. Regardless of format
2. Made or received in connection with the transaction of public business (Chapter 40.14 RCW)
• For public disclosure, refer to Chapter 42.56 RCW.
Records Retention in a Nutshell...
• Retain all public records for the minimum retention period as listed on approved Records Retention Schedules
• Once retention is met : Destroy if not an archival or permanent
series If permanent, take appropriate action
to retain Contact State Archives for appraisal
and transfer of all Archival records
Washington State Archives Documenting Democracy
Can I Print and Delete?
WAC 434-662-040
Electronic records must be retained in electronic format and remain usable, searchable,
retrievable and authentic for the length of the designated retention period. Printing and
retaining a hard copy is not a substitute for the electronic version unless approved by the
appropriate records committee.
Why Printing Doesn’t Work• Metadata associated with “born digital”
records establishes and preserves the authenticity of the record which is the evidence of the transaction it documents.
• Printing electronic records (e.g. emails) preserves the informational content but not the authenticity of the record.
7
Other Common Questions
• Why not keep everything?• What are the agency’s obligations
regarding public disclosure with electronic records?
• Whose responsibility is it to manage email records?
• For paper records, can I “scan and toss”?
Public Disclosure Who Can Help?
Tim FordOpen Government OmbudsmanOffice of the Attorney General
http://www.atg.wa.gov/OpenGovernment/Ombudsman.aspx
Destruction After Digitization (DAD)
Agencies wishing to scan paper records and then dispose of the primary (paper) copies before their required retention has been met must
obtain authorization to do so.
• Appropriate policies/procedures to ensure authenticity• Appropriate preservation measures• Appropriate retention/disposition procedures
http://www.sos.wa.gov/archives/RecordsManagement/DestructionAfterDigitization.aspx
Digitized Records
Scanning and indexing of source documents does not automatically authorize the destruction of the source documents for which images have been created.
(WAC 434-663-600)
Options when digitizing
1. Digitize and retain the paper original for the full required retention period; OR
2. Apply for and obtain DAD authorization, and destroy the paper originals after scanning, indexing and verification; OR
3. Create state standard-compliant security microfilm from the digital images; OR
4. For records with Archival designation, transfer originals to Archives after scanning.
GOAL!Successful organization and control is a
win–win situation• Agency benefits in lower costs and more
efficient operations• Employees benefit with better access and
increased productivity• Public benefits with transparency and prompt
responses to any requests
A winning strategy for electronic records
• Identify the record• Organize
• Disposition
Washington State Archives Documenting Democracy
IdentifyUsing approved records retention schedules
will help you:
• Identify records you need to keep • Identify records you can get rid of• Identify records needing additional attention
Essential Archival
Which Schedule do I Use?
Local agencies use both:
1) Local Government Common Records Retention Schedule (CORE)
AND
2) Sector-specific records retention schedules (including relevant sections of the Local Government General Records Retention Schedule (LGGRRS))
Organize!
Think electronic “file cabinets”
Desktops and servers are digital “file cabinets” used for storage
Just like traditional metal ones
Electronic Record Life Cycle
Create or Receive Record
CONSIDER CONTENT
If NO retention value Delete
Record / Save Properly ID
If Archival
Transfer
Non-Archival
Keep until retention met
When retention is met, ID records for
destruction
DESTROY and document destruction
Approve for destruction
Have a plan• Create a “file plan” or “file structure”• Link to retention schedules• Pre-determined file folders provide
consistency, centralization and organization
• Mirror the plan throughout – use same structure for paper, email, desktop, network drives and servers
• Develop desk guides and cheat sheets
Set up structure
• Can be as individual “drawers” – working files set up in folders in email application
• Can be work group or section “file drawers” with folders set up on shared drive or server used by group
• Can be “central files” or “records center” – “file drawers” in a central repository for longer retention
Within email applicationHow it works
• Individual users move e-mails into pre-determined folders that mirror those on server or shared drive
• Good to set up as “working files”, or for transitory records or with minimal retention value
• Recommend records with longer retention value be retained on drives or servers
Using email application folders
Remember:• Recommended use is for short-term or
temporary retention• Mirror folders you set up on network
server or shared drive • Match up to retention schedules• Use shared drive/server for records with
longer retention
Next level
Additional folders can be set up to further define the content
– easy to locate and search, still all under DAN # GS 22005
Mirror this structure on shared drive or server for records with
retention value
Be diligent with cleaning out records with no retention value
in these “working files” and save primary copies to shared
drive
Organizing in shared drive or network serverHow it works
• Designated shared drive or server is used as centralized “file cabinet” or repository
• Users save their emails into pre-determined folders in specific “drawers”
• Users can access in a centralized location• Generally no active retention or disposition
applied, but can set up system administrators to track files
Can look like this
Create file “drawers” and create appropriate folders in a server or shared drive “electronic
file cabinet”
Marry up with appropriate retention schedules and mirror pre-set email folders
Conferences & Seminars
GS22005
Next click
Create appropriate file “drawers” and create the folders as necessary in
which to “file” your information – all of these are still GS 22005
By using the .msg extension, it can saves record copyemails electronically and preserve the metadata as well – also will save attachments
Using classifications and naming conventions make it easier to search and locate the information
Email regarding meeting room contract
An example
Additional file folders can be created
as necessary under each record series
Additional records series under a
categorycan be added
This is a PERMANENT, ESSENTIAL and POTENTIALLY ARCHIVAL series and should
noted and handled accordingly
Also a PERMANENT, ESSENTIAL and POTENTIALLY
ARCHIVAL series
This is an essential record and should have additional back up. It also has a long term retention
This series only has a 3 year retention, so can get rid of these files sooner
Another example
Right of Way files are ESSENTIAL and
POTENTIALLY ARCHIVAL and should be tagged or
marked and handled accordingly
DAN # SD 51-13-01These records all have a retention of 6 years after
close of fiscal year.
Delete/destroy once retention has been met.
DAN # SD 51-06A-19These records all have a
PERMANENT RETENTION
Tag for special treatment and work with IT to ensure
long term retention, accessibility, and
authenticity. Back-ups and security are a must!
State unique example
This series is ARCHIVAL - 9 year retention for agency, then transfer to archives
Can identify certain files as exempt or other special handling
Helpful hints
• Use existing retention schedules!• Consult with users, enlist their input• Work on keeping file names short and
simple, yet make sense to users• Keep it under 255 characters & spaces,
otherwise may have problems with access and retrieval
Websites are Public Records
• Agency internet sites provide advice / information about the agency, its programs and services
• Made in connection with the transaction of public business (RCW 40.14.010)
• Internet sites are public records
Websites are Public Records
• Intranet sites provide advice / information about the agency’s polices, procedures, etc., to employees
• Made in connection with the transaction of public business (RCW 40.14.010)
• Intranet sites are public records
Retention Requirements
1. All state and local agencies must retain all web content in accordance with the approved retention schedules
(WAC 434-662-140)
2. Electronic records must be retained in electronic format and remain useable, searchable, retrievable and authentic for the length of the designated retention period
(WAC 434-662-040)
Records Retention - Three areas
1. Website Design/Architecture
2. Website Content
3. Changes to Website Content
Website Design / Architecture
• Records documenting the technical design and structure of website
• Includes connection between the website and other databases and applications
• Webpage style templates
Website Design / Architecture
• Local agencies use:Local Government Common Records Retention Schedule (CORE)
Applications – Technical Design and Implementation (GS50-06A-03)“Retain until application or version is no longer needed for agency business and all records within the application have been migrated or dispositioned in accordance with a current approved records retention schedule; then Destroy”
Content
• Typically, website content falls into 3 main categories:
1. Database-Driven Content
2. Secondary Copies of Other Public Records
3. Advice / Information
Content – Database-Driven
• Website content which resides in agency databases:– Pulled from database to provide dynamic
content for targeted audiences (e.g. location of nearest office based on zip code or IP address)
– Captured into databases via agency website (e.g. webforms)
Content – Database-Driven
• How to apply retention:– Manage the record within the database as the
agency’s primary copy– Use appropriate record series based on the
function and content of the record– Records documenting the rules governing
database / website interaction are covered by website design
Content – Secondary Copies
• Some content is just copies of other records of the agency, such as:– Annual reports, strategic plans, polices, etc
– Brochures, flyers, etc
– Forms (other than web forms)
Content – Secondary Copies
• How to apply retention:
– Manage the agency’s primary copy– Use appropriate record series based on the
function and content of the record
– Treat web version as secondary copy
Content – Secondary Copies
• Local agencies use:
Local Government Common Records Retention Schedule (CORE)
Secondary (Duplicate) Copies (GS50-02-04)
“Retain until no longer needed for agency business then Destroy”
Content – Advice / Information
• Actual advice / information about the agency, its programs and services not duplicated elsewhere in the agency’s records
Content – Advice / Information
• Apply the same retention to these content records that you would apply if you provided the same advice / information by letter or email to everyone in your agency’s jurisdiction
• Remember, you are providing that advice everyday that it is on your website
Why Document Changes
• It is not enough to just know what you said (the content)
• Agencies also need records documenting when did we say it and when did we stop saying it (the context to the content)
Changes to Content
• The tools / techniques to capture records of changes to website content depend on:
– Size and complexity of website / agency
– Level of risk associated with the content
Changes to Content
• Tools / techniques can range from:
– Content Management Systems (CMS)
down to
– Series of email exchanges between content author and agency webmaster
Changes to Content
• Local agencies use:
Local Government Common Records Retention Schedule (CORE)
Online Content Management (GS2010-007)
“Retain for 1 year after online content removed then Destroy”
Blogs, Wikis, Twitter, and emerging “technology du jour”
Five key considerations:1. Are they public records?
2. Are they primary or secondary copies?
3. How long do they need to be kept?
4. How will they be retained by the agency?
5. Is this technology appropriate?
Points to ponder
Ask some questions:• Make a business case – do you really
need to add another “technology du jour”?• Check with legal counsel• Check out terms of service agreements
Who is minding the store?
Establish rules and responsibilities:• Monitoring site and any TOS changes• Monitoring security• Who can post?• Who can make changes to content?• Who needs to capture and maintain?
Tips and hints to aid retention
• Series of email exchanges on content, when posted, when withdrawn, updates, etc.
• 3rd party software or content management systems
TwInboxTweetTakeArchiveFacebookSocialSafe
Introduction to theDigital Archives
• Opened in 2004 in Cheney, WA
2005 3.5 million records
2006 6 million records
2010 92 million records
Digital Archives Value
1. Access and convenience
2. Reduce agency workload
3. Limited business resumption
4. Digital Archives migration strategy
It is the State Archivist’s duty to “centralize the archives of the state of Washington, to make them available for reference and scholarship, and to ensure their proper preservation.”
RCW 40.14.020
Benefits of centralization
Digital Archives Value
1. Access and convenience
2. Reduce agency workload
3. Limited business resumption
4. Digital Archives migration strategy
• Connects users directly with records; reduces need for staff to facilitate access
• Reduces need for microfilm searches and reproductions
• Avoids cost of hardware and software obsolescence
• Use of DA resources and staff
Digital Archives Value
1. Access and convenience
2. Reduce agency workload
3. Limited business resumption
4. Digital Archives migration strategy
Agency’s access to confidential and non-confidential records through password-protected website.
Digital Archives Value
1. Access and convenience
2. Reduce agency workload
3. Limited business resumption
4. Digital Archives migration strategy• In-house architecture
and migration strategy• As needed for
technology obsolescence
Transferring Your Records
Part 1: Set up Record Series in Digital Archives system
Part 2: Self-service records transfers to Digital Archives
Transferring Your RecordsPart 1: Set Up Record Series
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer
5. Ingestion
Information Gathered:• Identify Record Series• Identify File Formats• Identify Recording System
Transferring Your RecordsPart 1: Set Up Record Series
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer
5. Ingestion
Transferring Your RecordsPart 1: Set Up Record Series
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer
5. Ingestion
Transferring Your RecordsPart 1: Set Up Record Series
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer
5. Ingestion
• “ArchiveThis!” transfer tool
• Hard Drive for large initial transfers (>100 GB)
Transferring Your RecordsPart 1: Set Up Record Series
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer
5. Backup and Ingestion
• Verify security• Create report• Copy data to backup• Byte count• Store security copy• Ingest
Transferring Your RecordsPart 2: Self-Service Transfers
1. Tools
2. Order Fulfillment
3. Support
• “ArchiveThis!” transfer tool
• Password-protected access to your records
Transferring Your RecordsPart 2: Self-Service Transfers
1. Tools
2. Order Fulfillment
3. Support
• Certified copy orders
Transferring Your RecordsPart 2: Self-Service Transfers
1. Tools
2. Order Fulfillment
3. Support• Digital Archives staff
• Electronic Records Management Consultant for your region
Transferring Your RecordsBiggest Challenge
Biggest challenge to the Digital Archives: Multiple proprietary formats!
When purchasing an electronic records management system, please let your vendor know that the Digital Archives has an acceptable data export format. We will be glad to work with your vendor so that we can preserve your records.
Contacts and Website
Debbie Bahn, Lead Archivist(509) 235-7500 ext. [email protected]
June Timmons, Chief Applications Architect(509) 235-7500 ext. [email protected]
Scott Sackett, Electronic Records Management Consultant, E. WA(509) [email protected]
Washington State Archives, Digital Archiveswww.digitalarchives.wa.gov
In conclusion…
Explore available options, and adapt them to best serve agency needs and usage
– Establish policies, procedures, ground rules– Take time to fully develop file structures and
plans as a foundation– Use appropriate tools for the job– Keep it as simple as possible– Training…and patience – chocolate helps too!
Questions?Leslie Koziara (Western WA)
Scott Sackett (Eastern WA)
Electronic Records Management Consultants
[email protected] [email protected]
(509) 413-3296 (360) 586-4893
Records Management Program, Olympia
Subscribe to listserv for the latest updates
http://www.sos.wa.gov/archives/
RecordsManagement/records_local.aspx
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