1. Washington State Archives Presented by: Leslie Koziara, Records Management Trainer leslie.koziara@sos.wa.gov Electronic Records Management “What Should I Be Doing?”

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

3. WHY DOES IT SEEM SO HARD?

4. Office? What office? The line between work and personal time has blended or gone completely 24/7 access to information Telecommuting Attend meetings without being present PDA’s, cell phones, laptops and….

5. National Archives (NARA) Bulletin 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.”

6. Form a records management task force What are the “top two” problems? Suggested solutions Time for a task force

7. 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”

8. Gone forever There are electronic records that are now extinct and gone forever Governor Gardner’s administrative files (Wang system, erased) Governor Spellman’s reports and letters (Mag Cards, unreadable) GIS, databases, legacy systems, ??

9. 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?

10. So, what exactly is a record? A record is a record, regardless of format

11. 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

12. Time Travel Creating records in 1982

13. 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

14. 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.

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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?

22. 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

23. 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

24. Decisions, decisions Apply same decisions to retaining electronic information as you would to the traditional paper format Communicate and educate!

25. 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

26. 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!

27. 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 ?

29. 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

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

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

32. 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

33. 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”

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

35. “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

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

37. 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

38. 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

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

40. 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

41. 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?

42. 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

43. Do you know where your records are?

44. 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!

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

46. 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

47. 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

48. 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

49. RECORD SERIES As defined in WAC 434-663-270: “A group of records that are created, used, filed, and disposed of as a unit because they relate to a particular…function, result from the same activity, or document a specific kind of transaction.” It is easier to manage items as a group instead of single entities

50. 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

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

52. 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

53. 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

54. 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.

55. 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)

56. 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)

57. GS 03 Human Resources

58. Local Gov’t CORE

59. State Unique

60. Records with little or no retention value State General Schedule GS50 Local Gov’t CORE 50-02 BEST SCHEDULE EVER

61. Too much information! SERVER!

62. 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?

63. 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

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

65. 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

66. 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

67. A brief word on metadata

68. 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

69. 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

70. For example

71. 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

72. Let’s play celebrity metadata Pick a celebrity –Movies –Sports –Music –Art Use key words to “file” that celebrity

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

74. NOW WHAT?

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

77. 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

78. 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

79. 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

80. A resource for policies Municipal Resource Service Center: www.mrsc.org/subjects/infoserv/email.aspx

81. 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

82. Be sure to add a compliance statement Compliance: Compliance with this policy is mandatory for all departments, sections and every employee of this agency (THIS MEANS YOU - NO EXCEPTIONS)

83. 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

84. 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

85. 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!

86. 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”

87. 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

88. 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)

89. 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

90. 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

91. 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

92. What should I be doing? Your agency

93. Everyone is so busy!

94. Inside a desktop Black hole

95. 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)

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

97. Electronic file cabinets Think electronic “file cabinets” Your desktops and servers are like traditional metal cabinets, storage for your information Organize it just like you would a file drawer

98. 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

99. 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

100. Attendance and Leave GS03030

101. Attendance & Leave Records GS03030 Attendance & Leave Records GS03030 End of Fiscal Year, 6 yrs Attendance & Leave Records GS03030 End of Fiscal Year, 6 yrs

102. File structure example GS03030 FY2009 John GS03030 Jane GS03030 Joey GS03030 Attendance & Leave Records GS03030 FY2009

103. Next level Jane Comp Time GS03030 Joey Comp Time GS03030 John Annual Leave GS03030 Jane Annual Leave GS03030 Joey Annual Leave GS03030 John Sick Leave GS03030 Jane Sick Leave GS03030 Joey Sick Leave S03030 John Comp Time GS03030 FY2009

104. File tree Can add other records series

105. Local Gov’t CORE

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

107. Setting it up Keep it as simple as possible Classify information in groups Use existing retention schedules Implement “universal knowledge” – Make it meaningful for your agency/users – Consider present and future

108. Email How 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

109. GS22005

110. Next level Additional folders can be set up to further define the content – under “Conferences and Seminars” specific folders are set up for different events – easy to locate and search, still all under DAN # GS 22005

111. Adapt as needed Drill down as far as necessary, but keep it simple and easy to use

112. Using e-mail application folders for filing Remember: Can match up to folders you set up on network server or shared drive Match up to retention schedules Again, recommended use is for short-term or temporary retention, use alternative methods for longer term retention and disposition

113. Filing in Shared Drive or Network How it works Designated shared drive or server is used as “repository” or dedicated storage Users save their electronic records into specified folders Users can retrieve and move at will –Although additional security and controls may be added –Can appoint an administrator

114. In addition Centralization makes good sense –More effective in event of staff turnover, other “life happens” scenarios Increased search capability for discovery and disclosure Just be aware that active retention or disposition needs to be applied – manually or work with IT to set up tags, flags, methods of notification

115. 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

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

117. “Saved As” e-mail Use the.msg extension, it can saves record copy e-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

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

119. 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!

120. Another example As another example, on a designated shared drive there are folders for the “DAD” Destruction After Digitization Approval This is a unique schedule records series “Requests for Early Destruction of Source Documents 25 year retention, cut-off is upon request approval

121. Structure as necessary Folders are created under this unique series and used by staff for filing documents related to the approval process, and all are managed as a group according to the retention schedule Multiple users can use, distribute, file, locate, and search as necessary, and controls can be created regarding users access, security and for retention purposes

122. Executive Level Subject Files GS10003 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

123. This series is ARCHIVAL - 4 year retention for agency, then transfer to archives

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

126. Land Use Planning

129. 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

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

133. 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?

134. 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?

135. 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?

136. 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

137. Capturing websites It depends on the website and what records are needing capture Options include: Snapshots Email confirmations/webmaster Change logs/audit logs Maintaining entire site 3 rd party software for ECM

138. 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?

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

140. Do you?

141. Use of Social Media

142. 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?

143. Points to ponder Ask some questions: Make a business case – do you really need to add another “technology du jour”? Check with legal counsel Check out terms of service (TOS) agreements –Amendments or codicils

144. 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

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

146. 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

147. 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?

148. 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

149. 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

150. 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?

151. Resources Standards 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

152. Archives – State and Regional Records Management Digital Archives Local Records Grants Program Imaging Services Providing Services for Government

153. Archiving Electronic Records Using the Digital Archives

154. 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!

155. Preservation for the future Electronic Records Preservation WAC 434-662 Developed for the preservation of archival electronic records only, not for mass ingestion of non-archival electronic records Gives guidance on the process Transfer process for archival series electronic records to the Digital Archives

156. 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

157. Search Digital Archives Spokane County -1905

158. 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

159. 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

160. Executive Level Subject Files GS10003

161. Local Government example

162. 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

163. 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)

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

165. Modern Records Storage Digital Archives Racks 2005 3.5 million records 2006 6 million records 2010 85 million records

166. Digital Archives Services and Benefits Transferring your records Modern and preservation storage Value to government agencies

167. 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

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

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

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

171. 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)

172. 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

173. 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

174. 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)

175. 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.

176. 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

177. 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

178. 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

179. 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

180. Our New Services Tab www.digitalarchives.wa.gov

181. 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

182. 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)

183. 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!

184. WAC 434-663-600 Imaging Systems “Conversion to an imaging system DOES NOT automatically authorize the destruction of source documents for which images have been created……

185. “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.

186. Introducing “DAD” DESTRUCTION AFTER DIGITIZATION* * destruction of the source documents after digitization

187. 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

188. 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.

189. Oops Alaska 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

190. 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

191. Recovery Costs 6 weeks $200,000

192. 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

193. 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

194. New DAD Application Available online

195. We want to know How 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?

196. 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?

197. 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

198. Contact us: recordsmanagement@secstate.wa.gov Subscribe to listserv: http://www.secstate.wa.gov/archives/RecordsManagement Click on either local or state government link

199. Washington State Archives: Partners in preservation and access. www.secstate.wa.gov/archives Records Rule! Thank you!