Washington State Archives Presented by: Leslie Koziara, Records Management Trainer leslie.koziara@sos.wa.gov Electronic Records Management “What Should.
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Washington State Archives
Presented by:
Leslie Koziara, Records Management Trainer
leslie.koziara@sos.wa.gov
Electronic Records Management
“What Should I Be Doing?”
Early records managementThe most permanent media available was
used to record history
Early text messages
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.”
• Form a records management task force
• What are the “top two” problems?
• Suggested solutions
Time for a task force
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”
Gone foreverThere 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?
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
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
RIM in WA
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
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
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 #3
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
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
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?
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
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
Decisions, decisionsApply same decisions to retaining
electronic information as you would to the traditional paper format
Communicate and educate!
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
Public Disclosure
• Governed by the Public Records Act (RCW 42.56)
• Broader definition of “public records” • Responsibility of the Attorney General’s
Office
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
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 FordOpen Government OmbudsmanOffice of the Attorney General
www.atg.wa.gov/OpenGovernment/Ombudsman.aspx
“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
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
Records management:
• Promotes effective business practices
• Promotes efficient use of resources, reduces costs
• Supports compliance and cost savings in audits/discovery/disclosure issues
Everyone has a responsibility towards the creation and use of public records
It takes teamwork!
Records Management is a TEAM SPORT!
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?
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
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!
What is a retention schedule?
A retention schedule outlines the specifics for the preservation and
destruction for public records
Retention schedules are the building blocks of a records
management program
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 SERIESAs 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
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)
• 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
Understanding Cut-offs (start of the retention)
Records with little or no retention value
State General Schedule GS50
Local Gov’t CORE 50-02
BEST SCHEDULE EVER
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
Get rid of the ROT!
• Redundant
• Outdated
• Trivial
Too much information lingering in servers and desktops slows down the system and
increases costs
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
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
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
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
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
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 everyemployee 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”
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
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
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
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)
Another option:Using what you already have
• Retention schedules
• Staff
• Desktops
• Servers
You do not need to purchase additional technology tools to begin ERM!
Electronic file cabinetsThink 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 & Leave RecordsGS03030
Attendance & Leave Records
GS03030
End of Fiscal Year, 6 yrs
Attendance & Leave Records
GS03030
End of Fiscal Year, 6 yrs
File structure exampleGS03030
FY2009
FY2009
John GS03030
JaneGS03030
JoeyGS03030
Attendance & Leave Records
GS03030
FY2009 FY2009
Next level
JaneComp TimeGS03030
JoeyComp TimeGS03030
JohnAnnual Leave
GS03030
JaneAnnual Leave
GS03030
JoeyAnnual Leave
GS03030
JohnSick Leave
GS03030
JaneSick LeaveGS03030
JoeySick Leave
S03030
JohnComp TimeGS03030
FY2009 FY2009 FY2009
FY2009 FY2009 FY2009
FY2009 FY2009 FY2009
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
EmailHow 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
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
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 NetworkHow 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
Can look like this
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
Conferences & Seminars GS22005
Click
Create appropriate file “drawers” and create the folders as necessary in
which to “file” your information – all of these are still GS 22005
“Saved As” e-mail
Use the .msg extension, it can saves record copye-mails electronically and preserve the metadata as well
Using classifications and naming conventions make it easier to search and locate the information
E-mail regarding meeting room contract
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
As another example, on a designated shared drive there are folders for the “DAD” Destruction After Digitization
ApprovalThis 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
Executive Level Subject FilesGS10003
When cut – off is “Date of Document”, it is
easier to group by year using the latest date of the documents in the
file as your cut-off
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
This series only has a 3 year retention and is non-archival
This series is until obsolete or superseded
Right of Way files are ESSENTIAL and
POTENTIALLY ARCHIVAL and should be tagged or
marked and handled accordingly
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
• 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
What about websites?
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
Capturing websitesIt 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?
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
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?
Points to ponderAsk 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
Group Discussions
• Has the class given you hope or despair?
• Did you come away with some different thoughts on records management?
• Would your task force change direction or focus?
ResourcesStandards• ISO 15489 (International)• DoD5015.2 (U.S.)
– (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
• Archives – State and Regional
• Records Management
• Digital Archives
• Local Records Grants Program
• Imaging Services
Providing Services for Government
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 futureElectronic 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
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
Website Management
• 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
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)
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
Digital Archives
Services and Benefits
•Transferring your records
•Modern and preservation storage
•Value to government agencies
Transferring Your Records
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer Methods
5. Ingestion
6. Access
Information Gathered:
•Identify Record Series
•Identify File Formats
•Identify Recording System
Transferring Your Records
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer Methods
5. Ingestion
6. Access
Transferring Your Records
1. Consultation
2. Transmittal Agreement (TA)
3. Transfer Information Plan (TIP)
4. Transfer Methods
5. Ingestion
6. Access
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
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
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)
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.
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
•Eliminates vague search requests which require considerable staff time
•Reduces public records requests
•Eliminates microfilm searches and reproductions
•Provides option of certification by the DA
•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 disruption
4. Digital Archives migration strategy
Retrieval of records for agency
or public
Digital Archives Value
1. Access and convenience
2. Reduce agency workload
3. Limited business resumption
4. Digital Archives preservaton strategy•In-house architecture and migration strategy
•As needed for technology
obsolescence
Contacts and Website
Debbie Bahn, Lead Archivist
(509) 235-7500 ext. 207
debbie.bahn@sos.wa.gov
June Timmons, Chief Applications Architect
(509) 235-7500 ext. 202
june.timmons@sos.wa.gov
Washington State Archives, Digital Archives
www.digitalarchives.wa.gov
Washington State Archives
D & D“Destruction After Digitization”
Presented by:
Leslie Koziara, ERMP
Introducing DAD - A GUIDE TO THE APPROVAL PROCESS FOR THE EARLY DESTRUCTION OF
SOURCE DOCUMENTS**
**Formerly known as Electronic Imaging Systems (EIS)
Going Paperless Can Save $$
• Work flow improves, increased productivity
• Access and storage costs decrease
• Active retention & disposition reduces costs- less to store, search, and migrate
• You save paper!
• As a bonus – no more paper cuts!
WAC 434-663-600Imaging Systems
“Conversion to an imaging system DOES NOT automatically authorize the destruction of source documents for which images have been created……
“Going paperless”
You can’t just scan and toss until certain requirements have been met as per
Chapter 434-663 WAC.
Source documents still must be kept for the full retention period unless prior approval
for early destruction is granted.
Introducing “DAD”
DESTRUCTION
AFTER
DIGITIZATION**destruction of the source documents after
digitization
Who Needs to Apply for Approval?
Any government agency that converts paper-based records to digitized images
and then…
Wants to get rid of the paper-based source documents prior to meeting
their full retention period
Why get DAD’s approval?
• To ensure that imaged records remain authentic and accessible for the full duration of their retention period.
• RCW 40.14.020 (6)(c), it is the State Archivist’s responsibility to adopt rules governing the accuracy and durability of, and facilitating access to, photographic, optical, electronic, or other images used as public records.
OopsAlaska Dept of Revenue March 2007
• Technician reformatting a disk drive during routine maintenance accidentally deleted the files for the yearly resident dividends
• Also accidentally reformatted the back up drive
• The back up tapes were found to be unreadable
300 Boxes
• Files contained information concerning the yearly payout and supporting documentation
• 800,000 electronic images had been scanned• Only back up left was in more than 300 boxes
Since the images will be considered the primary record copy, they will required to be maintained, preserved and protected
according to the appropriate retention and disposition for the record series
Regardless of whether it’s 5, 10, 15 or 50 years
Introducing the NEW and IMPROVED “DAD”
THEN:
• Formerly known as Electronic Imaging Systems (EIS)
NOW:
• Request for the Early Destruction of Source Documents After Digitization
We want to knowHow will those images be taken care of – now and in the
future?
Will you be able to access, retrieve, and have the record keep its integrity for the entire retention period as
required?
Retention and disposal
• Are retention schedules being applied to the images and tracked accordingly?
• Are there indexing, metadata standards?
• What about access/retrieval/security?
• What storage format (s) are you using?
Preparedness• What plans do you have for the future?
– Migration?– Recopying?– Disposal once retention is met?
• What if “technology happens?”• System failure• Vendor failure• Disasters – natural or manmade• Back-ups
Contact us:
recordsmanagement@secstate.wa.gov
Subscribe to listserv:
http://www.secstate.wa.gov/archives/RecordsManagement
Click on either local or state government link
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