Washington State Archives Presented by: Leslie Koziara, Records Management Trainer [email protected] Electronic Records Management “What Should.

Washington State Archives

Presented by:

Leslie Koziara, Records Management Trainer

[email protected]

Electronic Records Management

“What Should I Be Doing?”

Early records managementThe most permanent media available was

used to record history

Early text messages

WHY DOES IT SEEM SO HARD?

Office? What office?

The line between work and personal time has blended or gone completely

• 24/7 access to information

• Telecommuting

• Attend meetings without being present

• PDA’s, cell phones, laptops and….

National Archives (NARA)

Bulletin 2008-05

“Federal organizations should not rely on the technology alone…. use them in conjunction with established records

management policies and procedures………..employees must be trained in the policies, procedures and

proper use of the technology.”

• 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?

So, what exactly is a record?

A record is a record, regardless of format

Content and Function

It is the CONTENT and FUNCTION that determines a record – regardless of it being paper, carved on a stone

tablet, written on a cocktail napkin, in an electronic device, or whatever media contains the information

Time Travel

Creating records in 1982

Regardless of format – and the list keeps getting longer!

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


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


While cleaning out the shelves in your office, you come across a 1994 copy of the Idaho Toxic Spill report.


□ Yes □ No


WHAT IS A RECORD? Quiz # 5

Your agency has a web blog and has invited public comment on a controversial issue.


□ 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

What about

public disclosure?

I’m just asking…

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

Also known as…

“Should it stay, or should it go?”

Records and information are an agency’s most important assets

While ordinary and mundane to most, records are a vital necessity

• People come and go

• Records provide the continuity for the continued operations of business

Benefits of Records Management

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

Do you know where your records are?

Draw a map

By drawing a map you can “at a glance” know where records are

kept. You can create a “data” map, drawing servers etc and labeling

what data is kept where along with the tradition methods of retention

and storage. Really helpful in event of disclosure/discovery!

Get to know your retention schedules

General Records

Retention Schedules

and

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)

GS 03 Human Resources

Local Gov’t CORE

State Unique

Records with little or no retention value

State General Schedule GS50

Local Gov’t CORE 50-02

BEST SCHEDULE EVER

Too much information!

SERVER!

Why not just keep it all?Consider this:

Searching• The more you have, the more you have to review

and search through• Think needle in a haystack.. less hay, easier to

find the needle• Discovery costs increase• How much is your time worth? Your attorney?

Get rid of the clutter – it slows you down!

• Tips for control:– Develop polices on primary & secondary

copies, have conversations on who needs to keep what

– Use email less often, more face time– Create filters, shared folders / spaces– CC less people, only critical sharing

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

A brief word on metadata

THE IMPORTANCE OF METADATA

• Descriptive information that facilitates management of, and access to, the objects being described – “data about the data”

• A means of describing: – What is in the record– Circumstances of creation and use – the 5 W’s– Who, what, why, where, when

• Need to maintain metadata as part of complete record to establish authenticity, facilitate retrieval, and to understand the record’s context and relevance

Supports authenticity

A complete electronic record contains sufficient metadata exists to prove that it is a record

• Is what it is – an authentic record

• Was created/sent by the person purported to have created/sent it

• Was created/sent at the time purported

For example

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

• To err is human, but to really foul things up requires a computer.

–Farmer’s Almanac, 1978

NOW WHAT?

First recommendation

“Fasten your seat belts, it’s going to be a bumpy night”

All About Eve (1950)

Where do you start?

• Develop records management policies and procedures

• Get management support and buy-in

• Have training and education for users on records management

Proactive vs Reactive

A policy is critical so that your employees know what to do – guidelines on the

creation, use and care of public records and that everyone is on the same page

Having a policy also offers some protection against liability in the event of legal action - agency can demonstrate “due diligence”

and use of best practices

Drafting a policy

Some items to include in your policy:

• Address legal requirements

• Roles and list of responsibilities

• Incorporate appropriate use

• Basics of records management

• Make sure all media is covered, not just email– Social Media, texting, IM, cell phones,

emerging technologies

A resource for policies

Municipal Resource Service Center:

www.mrsc.org/subjects/infoserv/email.aspx

Compliance checks

• Policy alone is not enough, must also demonstrate compliance– Periodic checks– Develop desk guides and cheat sheets – Education and training is critical to your

success – An ounce of prevention is worth thousands

when it comes to lawsuits

Be sure to add a compliance statement

Compliance:Compliance with this policy is mandatory for all departments, sections and 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

What should I be doing?

Your agency

Everyone is so busy!

Inside a desktop

Black hole

Some options

• Can continue on as before

(Probably not useful)

• Can invest in ECM

(Can be expensive, need to think and plan ahead and get organized first, otherwise you are automating the same problems)

• Can go back to paper

(Not likely)

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 and Leave GS03030

Attendance & Leave RecordsGS03030

Attendance & Leave Records

GS03030

End of Fiscal Year, 6 yrs


GS03030

End of Fiscal Year, 6 yrs

File structure exampleGS03030

FY2009

FY2009

John GS03030

JaneGS03030

JoeyGS03030


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

File tree

Can add other

records series

Local Gov’t CORE

Another example

Additional file folders can be created

as necessary under record series

Additional records series under a category

can be added

Setting it up

• Keep it as simple as possible

• Classify information in groups

• Use existing retention schedules

• Implement “universal knowledge”– Make it meaningful for your agency/users– Consider present and future

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

GS22005

Next level

Additional folders can be set up to further define the content –

under “Conferences and Seminars” specific folders are set up for different events –

easy to locate and search, still all under DAN # GS 22005

Adapt as needed

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

Using e-mail application folders for filing

Remember:

• Can match up to folders you set up on network server or shared drive

• Match up to retention schedules

• Again, recommended use is for short-term or temporary retention, use alternative methods for longer term retention and disposition

Filing in Shared Drive or 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

Email saved as .msg extention along with

other formats in server – no more silos!

Drag and drop

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 series is

ARCHIVAL - 4 year retention

for agency, then

transfer to archives

This series is ARCHIVAL - 9

year retention for agency, then

transfer to archives

Land Use Planning

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

Do you?

Use of Social Media

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 Electronic Records

Using the Digital Archives

Archiving is our business

Washington State Archives was established in 1957 and is a free service

for government agencies to transfer archival records for preservation and

protection of public records

Digital Archives serves the same purpose for the preservation and protection of

digital records – and it’s still free!

Preservation for the 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

Search Digital

Archives

Spokane County -1905

What does archival mean?

Having enduring historical, legal, or fiscal value and are to be kept forever.

Here are some examples:• Vital records – birth, marriage, divorce, death• Property deeds• Minutes and resolutions• Elected officials and executive level records• Court records• Legislative records

Where do I find out if my record is archival or not?

Approved records retention schedules indicate which record series are archival or

have other designations

Executive Level Subject FilesGS10003

Local Government example

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


1. Consultation



4. Transfer Methods

5. Ingestion

6. Access

Transmittal Agreement (TA)

•Agency information

•Agreement to transfer data

•Scope of work


1. Consultation



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)


1. Consultation



4. Transfer Methods

5. Ingestion

6. Access

Options:

• Hard Drive

• ‘Archive This’ Secure File Transfer Protocol (SFTP) Tool


1. Consultation



4. Transfer Methods

5. Backup and Ingestion

6. Access

•Verify security

•Create report

•Copy data to backup

•Byte count

•Store security copy

•Ingest


1. Consultation



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






•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




3. Limited business disruption


Retrieval of records for agency

or public





4. Digital Archives preservaton strategy•In-house architecture and migration strategy

•As needed for technology

obsolescence

Our New Services Tab

www.digitalarchives.wa.gov

Contacts and Website

Debbie Bahn, Lead Archivist

(509) 235-7500 ext. 207

[email protected]

June Timmons, Chief Applications Architect

(509) 235-7500 ext. 202

[email protected]

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

Recovery Costs

6 weeks

$200,000

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

New DAD

Application

Available online

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:

[email protected]

Subscribe to listserv:

http://www.secstate.wa.gov/archives/RecordsManagement

Click on either local or state government link

Washington State Archives: Partners in preservation and access.

www.secstate.wa.gov/archives

Records Rule! Thank you!

Washington State Archives Presented by: Leslie Koziara, Records Management Trainer [email protected] Electronic Records Management “What Should.

Documents

information slide

format slide

twitter slide

electronic records management

task force slide

early records management

records of importance

electronic record chapter