1. Electronic Records Management
Session 5 of 7 on records management

2. Session Guidelines and general information
Session 5 of 7 on records management

3. Presenter(s)
Karen Gray Records Analyst (Records Retention Schedules and Imaging – State Agencies) Archives and Records Management Branch And / or Jerry Lucente-Kirkpatrick (RM Training; Retention Schedules and Imaging – Local Agencies) Melanie Sturgeon State Archivist Archives and Records Management Library, Archives and Public Records Arizona Secretary of State
Typical RM training Presenters

4. Additional Contributions to this training
Steve Adams Senior Records Analyst National Archives and Records Administration (NARA) (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

5. General Guidance for on-line sessions
1. Please remember that while you are in the on-line classroom, all other participants can hear everything you say (even in the background), and can see everything you write on the whiteboard.
2. I will be muting All participants to help with sound distortion.
3. Please make sure that all phones are muted during the sessions. Press *6 and your phone will be muted.
4. Feel free to submit notes during session for discussion. If you would like to send a note / comment, please send to “all” so that everyone can see the question and then hear the answer to that question.
5. Please raise your hand if you wish to speak
6. Take a vote: How many of you are participating in today’s session with a group of co-workers?
7. If so, how many of you are there in your group? (Send # as a note)
8. At the end of the training, I will be taking questions. Write down any questions you have during the session, and we will have an opportunity to ask them at the end.
General Guidance for On-Line Session we repeat for all on-line sessions

6. All Records management in arizona is governed by Arizona Revised Statutes (ARS)
In Arizona, everything that we do in Records Management is governed by Arizona Revised Statutes (ARS).
The ARS that govern Records Management are:
§ – §
and
Portions of § – §39-128
The purpose of this training today is to discuss the management of electronic records.
1. All we do in RM is statute based
2. Today, we will examine the statutes closely
3. Today, we will learn what is required in AZ for RM

7. What is a “record” 41-151.18. Definition of records
In this article, unless the context otherwise requires:
"records" means all books, papers, maps, photographs or other documentary materials,
Regardless of physical form or characteristics, including prints or copies of such items produced or reproduced on film or electronic media pursuant to section ,
Made or received by any governmental agency in pursuance of law or in connection with the transaction of public business and preserved or appropriate for preservation by the agency or its legitimate successor
As evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained in the record, and includes records that are made confidential by statute.
Here is a summary of the changes:
– “Records” First legislated
1958, Ch. 98, added a new Article 1.1, “Board of History and Archives” to Title 41, Chapter 4.  It included ARS , “Records”, which was basically a definition paragraph.
LAPR moved from ADOA to State Legislature
Laws 1976, Ch. 104, abolished the Division of Library, Archives and Public Records within the Department of Administration and established the Department of Library, Archives and Public Records within the Legislative Branch. 
LAPR moved to Secretary of State (SOS) and statutes renumbered
For , the most recent change was the renumbering when we switched to Secretary of state.  2011, Ch. 18, transferred & renumbered Chapter 8, Article 3, for placement under the Secretary of State.  ARS became ARS , “Definition of records”. 
Added phrase dealing with “imaging”
Laws 1974, Ch. 42, sec. 4, amended ARS to add the wording “including microphotographic film prints or copies of such items reproduced pursuant to section ” to the definition of “Records.”
– Updated “imaging” to include electronic media
Laws 1985, Ch. 213, sec. 12, amended ARS as follows: “… including microphotographic film prints or copies of such items PRODUCED OR reproduced ON FILM OR ELECTRONIC MEDIA pursuant to section , …”

8. What is not a record 41-151.18. Definition of records - continued
Not included within the definition of records as used in this article:
Library or museum material made or acquired solely for reference or exhibition purposes,
extra copies of documents preserved only for convenience of reference
and stocks of publications or documents intended for sale or distribution to interested persons
Not a Record:
Reference or Exhibits in Libraries and Museums
Extra Copies – as long as they are just copies
Publications intended for distribution or sale (State Documents)

9. Benefits
The benefits of having a good Records Management Program in place:
Help same money and resources previously being spent on storing records (physical floor space, server space, off-site):
That don’t need to be stored
That aren’t records
That are passed their retention period
Make proper decisions about the information your create or receive
Protect the rights of individuals
Ensure government accountability
Minimize risk
Keeping records LONGER than the retention period is a risk
Minimize Risk:
Why “prompt and orderly disposal of records”?
1. Risk Management: There is a risk to keeping records longer than needed.
2. Costs to the Public: We are required to have an “efficient and effective” records management system. Keeping records longer than needed means the public is paying for the storage, retrieval, use, etc. of records that are no longer needed by the public bodies per approved RS.

10. Two (2) Records Mgmt “Self-evident” truths
As long as you are required to retain / keep / hold onto records:
those records needs to be usable and readable
Obsolete media, format, system
Back-up tapes that cannot be read
Why keep information that cannot be used?
those records need to be useful and accessible
Open to PRR, litigation, audits, government investigations
No hidden data warehouses / data archives
Why hide information from the public / colleagues?

11. Electronic Records statutes

12. Arizona Electronic Transactions Act
Managing Government Records In Any Format
Arizona Electronic Transactions Act
Creation; retention; conversion of written records
Each governmental agency shall determine if, and the extent to which, the governmental agency will create and retain electronic records and convert written records to electronic records.
Any governmental agency that is subject to the management, preservation, determination of value and disposition of records requirements prescribed in sections , , , , , , and and the permanent public records requirements prescribed in section shall comply with those requirements.
C. All governmental agencies shall comply with the policies that are established by the secretary of state pursuant to section and that apply to the use of electronic signatures.
Salient Points
Up to each agency/organization to decide if they will use electronic records. But, if they do the electronic records need to adhere to the ARS public records laws, etc.
State agencies need to comply with Government Information Technology Agency (GITA) in the use and implementation of electronic records
If electronic signatures are used, then organizations must comply with e-signature guidelines set forth by the Secretary of State’s Office

13. Scanning Records Needs Pre-approval ARS 41-151.16(A)
Each agency of this state or any of its political subdivisions may implement a program for the production or reproduction by…digital imaging or other electronic media of records in its custody…and index such records for convenient reference.
The agency, before the institution of any such program of production or reproduction, shall obtain approval from the director of the types of records to be produced or reproduced and of the methods of production, reproduction and storage and the equipment which the agency proposes to use in connection with the production, reproduction and storage.
Approval pursuant to this subsection is necessary for digitizing programs but not for individual instances of digitization. On approval from the director, the source documents may be destroyed…

14. Imaging Request Forms Here is the link to the Imaging Request Forms:
Imaging and Microfilming Forms
Request for Document Imaging of Public Records
Used for scanning paper into any format
Request for Microfilming of Permanent Public Records
Used for filming paper onto Microfilm or Use of an Archive Writer
Certificate of Compliance
Completed by Public Body and their Microfilm Vendor to certify microfilm records are created, processed and stored according the the AZ Standards for Permanent Records

15. Understanding electronic records
Why RM Needs to Be at the Table with IT for Records / Data System Design and Purchases.

16. Electronic Records in Your Office
Managing Government Records In Any Format
Electronic Records in Your Office
What types of e-records do you have in your office?
Word, Excel, Access, PowerPoint, etc.
, Texts and Voic s
Digital Photos, Maps, and Videos Databases – HR, Finance, etc.
Web pages
Social Media
GIS
Cloud-based storage
Many different formats of electronic records
Which have unique way of organizing & displaying information
Which might require unique hardware or software
Electronic records could include any of the following:
Some of these can contain multiple types of electronic records
Word processed files (text files)
e.g., any word-processed documents
These are often text files, but they often include other types of files
Such as images, HTML files, etc.
Since they include different file types,
They have more complicated RM issues & have been singled out here
Images
e.g., graphics, digital photographs, scanned documents, aerial photographs
Databases
e.g., Microsoft Access, GIS, records management software
Spreadsheets
e.g., Microsoft Excel
Web pages
e.g., HTML, XML, PDF files
Calendars
e.g., Microsoft Outlook, Novell Groupwise

17. The Good, The Bad, and the Electronic
Managing Government Records In Any Format
The Good, The Bad, and the Electronic
The Good:
Take up little space
Easily searched and quickly retrieved
Easy to attach files to an
Keep audio, video and text together
The Bad:
viruses
Computer hackers and crashes
Un-patrolled wireless networks
Forwarded / text messages
Laptops are easy to lose and easily stolen
An virus can appear to be from a friend. Send itself to everyone in your address book. There has been a decrease in viruses the first half of That means that there have been new viruses a month now (Yahoo!News, 8/12/02)
People can access your system and make changes to it. The SSN of state employees in California (including the governor) were stolen by a hacker (Information Weekly.com, 7/29/02). NC DOT has my credit card number that I sent them on-line.
People can get access to your system through this
No way to tell if a forwarded message has been altered before it was sent
Hard to track who has used and changed files saved on an intranet
At least 400 laptops are missing, lost or stolen from the FBI. The DEA has no idea how many laptops are missing from their department because they have such poor accounting practices. The IRS lost 2,332 laptops in 3 years. It could be worse since the FBI has no time limit on when to file missing equipment reports. The longest was 23 years later, the average is after 4 years (MSN, 8/6/02)
According to an inspector in the San Francisco Police Department, laptops are the most stolen article of property (“Setting a trap of laptop thieves”, CNET News.com, 8/23/02)

18. Electronic Records Lifecycle
Active Use & Distribution
“Online” storage
Inactive: “Near-line”
Inactive: “Offline”
Migration
Destruction
Disposition
Creation or Receipt
And Capture
ALT TEXT:
This slide also contains a flow chart of the Eletronic records lifecycle depicts the various stages that the electronic record has to go through: creation or receipt, active use and distribution, transfer migration, and disposition.
Archives
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

19. Characteristics of Electronic Records
1. Content
what a record says; it is the data or information contained in the record
2. Context
refers to what makes the record meaningful. It tells why a record was created and its relationship to other records
3. Structure
refers to the way in which information is organized, which greatly affects our ability to understand it
4. Behavior
is the ability to perform queries, manipulate data, and display the records. Behavior may include:
Embedded sound or video files
Animation
Response to queries or other manipulation
NOTE TO INSTRUCTORS: Don't define these terms at this point, just list them.
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

20. Functional Requirements for Electronic Systems
A manual or automated system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition
Records management systems must be able to:
1. Declare a record
2. Capture records
3. Maintain and use records
4. Facilitate records transfer
5. Facilitate records disposal
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

21. 1. Declare a Record
Assign unique identifiers to records and their associated metadata. (Think of indexing electronic records)
Collect as much metadata automatically as possible, and reliably link metadata to the records
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

22. 2. Capture Records Allow import of records from other sources
Create a link from the electronic recordkeeping system to a record in its native system
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

23. 3. Maintain and use records
Define and implement organization-specific file structure linked to records retention schedules
Define, manage, and control levels of authorized user privileges (Who can access what and how much)
Link records to other records
Import information from other sources
Prevent unauthorized modification or deletion of records and metadata
Provide audit trails of all addition, update, deletion, and retrieval activity
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

24. 3. Maintain and use records - continued
Maintain appropriate backup copies of records and provide recovery procedures
Maintain the integrity and security of redacted records
Records can be read and accurately interpreted throughout their useful life in the system
Provide search and retrieval features and options to meet organizational requirements
Print and / or view all records and system control information
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

25. 4. Final Disposition: Transfer of Permanent Records
Identify permanent records eligible to be transferred to State Archives, based on records retention schedules and disposition instructions
Export records and metadata (i.e., copy and subsequently remove them from the system) in an acceptable format for historical preservation
Maintain Electronic Permanent Records Yourself, per AZ Perm Standards or Transfer to State Archives
Enable a record to be kept of all records transfers, providing certifiable proof of transfer and chain of custody (Agreement to Transfer Records to State Archives Form)
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

26. 5. Final Disposition: Destruction of Non-Permanent Records
Identify non-Permanent records eligible to be destroyed, based on records retention schedules and disposition instructions
Delete records in such a manner that they cannot be physically reconstructed or otherwise retrieved
Enable a record to be kept of all records destructions, providing certifiable proof of destruction (Report of Records Destruction Form)
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

27. Data Migration
The preservation of record integrity requires that the record be authentic, reliable, and complete, and possess sufficient context
Electronic records of continuing value need to be migrated through successive upgrades of hardware and software
Data Migration is a set of organized tasks designed to achieve periodic transfer of digital materials from one hardware / software configuration to another
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

28. Why Migrate? Electronic systems and software change regularly
Documents must be copied to new media while they are still readable
However, keep in mind:
The obsolescence as well as the physical lifetime of the new media and new formats (PDF A)
The fact that copying may change data format, compress, encrypt, etc.
The fact that copy cycles may have to be quite short to be safe, requiring a firm, funded commitment
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

29. Challenges of Data Migration
Not all Electronic systems / software interact with others systems (Do you have silos of “dead” data?)
Do records exist in a single medium or as a multimedia record?
Some records comprise a number of elements
Relying on metadata embedded in computer software and hardware to link content and structure to context
Preserving intellectual-level connections and control mechanisms among the various elements
Typical IT Cycle: Upgrading hardware and software every 18 months to three years
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

30. Data Migration Best Practices
Move data from current media to fresh media about every one to five years
Move data from obsolete media as necessary
Convert data from obsolete software to current software as needed
Convert data from obsolete operating system to current system as needed
Have IT staff perform the migration
Verify the success of the migration with IT by comparing pre and post-migration records (content)
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

31. CD / DVD storage = good????
Preservation pitfalls: These images were scanned from photographs and “burned” to a CD 5 years ago.

32. Options for managing electronic records

33. Storing Electronic Records
Electronic records should be stored in an approved record-keeping system that must do the following:
Logically relate group of records in accordance with your office’s file plan
Ensure that the records are accessible to authorized persons throughout the life of the records
Support retention of the records for as long as required (may require migration or other solutions = Continued Costs)
Enable transfer to the State Archives of Permanent records
Facilitate destruction of records automatically based upon an approved Records Retention Schedule (Retention Module)
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

34. Confidentiality and Legal admissibility
Managing Government Records In Any Format
Confidentiality and Legal admissibility
Confidential Records:
Protect it – deleted is not erased
Must be able to separate Confidential from non-confidential material if requested
Think before putting everything on your website / in an
Legal Admissibility:
You need to ensure e-records are
reliable or trustworthy
accurate
authentic
complete
Created during the regular course of business
Follow established procedures
Audit trails and Chain of custody
Timeliness
Confidential material must be protected. When you get rid of your computer, then you must make sure that all confidential material is gone. Just deleting it will not do it. Deleted does not mean it is erased.
Man found mental health patients’ records, and law firm’s communications with clients.
Woman bought computer from pharmacy and it had patients’ drug records
In 2000, computer discarded by London bank had Paul McCartney’s bank records
In 2001, Alabama TV station bought surplus computers with Medicaid records on them – including names, Social Security numbers and birth dates. (Seattletime.com, 6/2/02)
If you must show someone records with confidential material, then you must remove the confidential material before you give it to them.
One county in Virginia posted public documents, along with SSN and signatures on the internet. The county is now rescanning the documents without the SSN, but only for those who call and complain. Marriage licenses on-line have dates of birth and mother’s maiden names (often used by credit card companies to verify a person’s identity.) This information has always been available at the court house, but with the increase in identity thefts people do not want their information so easily accessible. (“Counties’ Web filings fought”, Times Dispatch.com, 9/10/02)
The Washington Post put a PDF version of the sniper’s letter on their web site that detailed the sniper’s demand for money to be deposited to a stolen credit card account. Certain personally identifying details were blacked out in the PDF file. Anyone with the full commercial version of Adobe Acrobat (not the free reader version) could easily remove the blacked-out part to reveal the text underneath. ( 10/26/2002)

35. Alphabet Soup of options
ECF —Electronic Case Filing
EIS —Electronic Information System
EDMS —Electronic Document Management System
ERMS —Electronic Record Management System
ECM —Enterprise Content Management
What you want to do with your Electronic Records / Data / Information will impact which option you choose
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

36. Electronic Case Filing – ECF
Electronic Case Filing (ECF) occurs when the documents themselves are filed electronically by scanning paper, or through the maintenance of documents created and transmitted electronically.
The case file containing the stream of documents accumulated about a particular transaction or project is the primary repository of all information about that transaction.
ECF Tracks only One-type of records
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

37. Electronic Information Systems – EIS (Databases)
An electronic information system (EIS) is an automated system that contains and provides access to records and other information
It captures (creates) information, but unlike an electronic records management system, it does not manage information throughout the lifecycle
Databases are most common types of EIS
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

38. Electronic Document Management Systems - EDMS
An electronic document management system (EDMS) is a set of software / hardware applications that provides for the management of documents
Among its capabilities:
Supports creating, editing, and reviewing work in progress
Manages creation, storage, and control of documents during daily use
Works well with mixed electronic record formats
Provides for sharing of files and information
Usually requires purchase of a separate Retention Module to automatically apply retention and disposition to its records / data / information in EDMS
Most popular solution for managing all types of electronic records – from a RM point of view
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

39. Electronic Records Management Systems – ERMS
Electronic Records Management System (ERMS) is a system in which records, regardless of format, are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition
An ERMS: allows us to establish and manage:
Retention and disposition rules
Security and access controls
Digital rights management
Information sharing
Findability
Provides for compliance and disposition
**Major Difference from EMDS = Contains unchanged, redundant information (does not allow records to be updated)
Major use – eDiscovery since it preserves all versions of information.
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

40. Enterprise Content Management – ECM (IT solution to management e-content)
Enterprise Content Management (ECM) is the document management term which describes the technologies used by organizations to capture, manage, store, and control enterprise-wide content, including documents, images, messages, instant messages, video, and more
NOT usually for RM purposes
ECM software is used to assist in content control associated with business process
Includes web content management, search capabilities, collaboration, digital asset management (DAM), work-flow management, and document capture and scanning
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

41. Comparisons
EIS is a database and does not have records management built in
EDMS deals with electronic records but does not always include records retention and disposition module / tools
ERMS deals with all formats of records and is designed with records management built in (Think about use for e-Discovery as a tool for compliance)
ECM captures, manages, stores, and controls enterprise-wide content throughout the records lifecycle. Tool for IT Management of all types of information on its systems
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

42. Problem Areas between Electronic records and Records Management

43. Problem Areas for e-records
Differences to watch out for between It and RM practices:
E-Records Retention & Formats
Data Warehouses / Archives vs. Back-ups
Databases
Social Networking (RM Session 6)
(RM Session 7)

44. Paper Vs Plastic : E-Records Retention
A.R.S – no difference between paper records or electronic records (including scanned or “born digital”)
Retention Schedules are legal documents that will stand up in court
Retention Schedules – list the records that are created or received by public bodies – regardless of whether created on paper or electronic
Retention Schedules – list the retention period for these records
Retention period for records are same for paper or electronic. When you destroy paper records you need to destroy the electronic ones, as well
Copies of records are not records – as long as they are truly a copy

45. Archives / Data Warehouses vs. Backups
Short-term retention for disaster recovery
Usually copies of information that exists elsewhere
Copies of information are not records.
Risks: The longer backups are kept, the more risk they contain unique records and not copies
Archives / Data Warehouses
Usually longer-term retention
Often contain unique information not found anywhere else (off-line records)
Archives / Warehouses ARE records
Implications: Archives will need to be searched as part of Public Records Requests, Audits, Government Investigations, Litigation

46. Databases & Formats
Databases contain electronic records – not just data
Databases contain many different types of records intermingled and interdependent
Deleting one record in a database will affect other “pieces” of the same record
Solution: Databases are best managed if we Schedule the entire database, not just the records that can be queried

47. Example of Scheduled Database

48. E-Records Challenges: Websites and Clouds

49. Who is managing all that stuff?
Questions to think about:
What is the difference between data and records?
Is it IT’s “responsibility” to provide Records Management service to their customers?
Is IT in the best position to “manage” electronic records?
Is IT the creator of the content / record?
Or, is IT the “post-er” of the content / record?
Why do these questions matter?

50. RM Questions for Website Management
Important RM Concept for all forms of Electronic Communication:
Is Content in Communication a Copy?
Is that content (of original not copy) being retained and managed (from RM perspective) elsewhere?
Is Content Unique information?
Is Unique Content being retained and managed (from RM perspective)?
Copies of information do not need to be managed since they are not records. BUT, do not keep longer than the original.
If original information / Record is being managed elsewhere, then no need to worry about copy. If original Record is NOT being managed, then original or copy NEEDS to be retained and managed.
If Content is Unique, it is not a copy. If unique content meets definition of a “record” (ARS ) then it must be retained and managed.
Is the system containing unique content (blog, social media, website, messages, etc) capable of retaining and managing content?

51. RM Guidance for Website Management
The Creator of any content being posted to website(s) needs to be responsible for the proper retention of the content they created
 Do not post any unique or original content to website(s)
Post only copies of information being managed by a specific person responsible for its retention in another more secure and controllable location / system
Consider logging (often a capability built into web software) when information is posted to website(s) and when that information is removed
Why? Can help rebuild information on website(s) if ever needed
You DO NOT need to make and retain screenshots of website(s) to properly manage them
Web crawls are not proper RM tools for website(s)

52. What is the Cloud? What’s in the cloud?
“Cloud” – IT outsourcing some, most or all of its responsibilities to a 3rd Party vendor.
“Cloud” – You know your electronic records / data are with the vendor, but you don’t know the actual physical location of the Servers holding your data.
Storage Space
Shared Data
Allows User(s) to access and use shared data and computing services via the internet or VPN
Allows access to data from almost any computer
Social Media
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

53. Types of Clouds Private Cloud
The computing infrastructure is dedicated to a particular organization and not shared with other organizations.
Public Cloud
The customer has no visibility and control over where the computing infrastructure is hosted.
Community Cloud
involves sharing of computing infrastructure in between organizations of the same community.
Hybrid Cloud
The usage of both private and public clouds together is called hybrid cloud.
Private Cloud
The computing infrastructure is dedicated to a particular organization and not shared with other organizations.
Some experts consider that private clouds are not real examples of cloud computing.
Private clouds are more expensive and more secure when compared to public clouds.
Private clouds are of two types: On-premise private clouds and externally hosted private clouds.
Externally hosted private clouds are also exclusively used by one organization, but are hosted by a third party specializing in cloud infrastructure.
Externally hosted private clouds are cheaper than On-premise private clouds.
Public Cloud
In Public cloud the computing infrastructure is hosted by the cloud vendor at the vendors premises.
The customer has no visibility and control over where the computing infrastructure is hosted.
The computing infrastructure is shared between any organizations.
Community Cloud
involves sharing of computing infrastructure in between organizations of the same community.
For example all Government organizations within the state of Arizona could share computing infrastructure on the cloud to manage data related to citizens residing in Arizona.
Hybrid Cloud
Organizations may host critical applications on private clouds and applications with relatively less security concerns on the public cloud.
The usage of both private and public clouds together is called hybrid cloud.
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

54. Cloud Models Software as a Service (SaaS) -- Software only hosted
sometimes referred to as "on-demand software" supplied "Application-Service-Providers" (ASPs)
Platform as a Service (PaaS) -- combination of “Yours” and “Ours”
PaaS offerings facilitate the deployment of applications without the cost and complexity of buying and managing the underlying hardware and software and provisioning hosting capabilities
Infrastructure as a Service (IaaS) -- Almost all “Yours”
The service provider owns the equipment and is responsible for housing, running and maintaining it
The client typically pays on a per-use basis
Software as a Service (SaaS) -- Software only hosted
sometimes referred to as "on-demand software" supplied "Application-Service-Providers" (ASPs)
is a software delivery model in which software and associated data are centrally hosted on the cloud
Platform as a Service (PaaS) -- combination of “Yours” and “Ours”
The provider provides the networks, servers, storage, and other services
The consumer creates the software using tools and / or libraries from the provider. The consumer also controls software deployment and configuration settings
PaaS offerings facilitate the deployment of applications without the cost and complexity of buying and managing the underlying hardware and software and provisioning hosting capabilities
Infrastructure as a Service (IaaS) -- Almost all “Yours”
a provision model in which an organization outsources the equipment used to support operations, including storage, hardware, servers and networking components
The service provider owns the equipment and is responsible for housing, running and maintaining it
The client typically pays on a per-use basis
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

55. Benefits of the Cloud Cost savings with "pay-as-you go"
Scalability in response to needed IT capacity
Accessibility of services often from any networked device
Collaboration capabilities with access to shared applications and records
Capability to outsource large computing needs and non-critical applications
Develop and implement new services as needed
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

56. Major Limitations and Risks of the Cloud
What If The US Government Seizes Your Cloud’s Servers?
Think it doesn’t happen? It does: Third Party Legal Issue - “Innocent Data seized along with “guilty” data because both on the same server.
Do you know who else and what other data is on your cloud’s servers?
Who Owns Data In The Cloud And How Easy Is It To Get Your Data?
Electronic Communications Privacy Act (ECPA) – This Act distinguishes between communications ( s newer than 180 days , texts, etc.) and stored data (cloud storage, s older than 180 days)
Do You Have A Guaranteed Exit Strategy?
Read the User Agreements – If stored data is lost for any reason, its gone forever and vendors cannot be held liable for data losses.
What If The US Government Seizes Your Cloud’s Servers?
Think it doesn’t happen? It does and there are some big examples:
06/2011 – FBI seized 62 servers from Reston, VA.
01/2012 – Megaupload.com seizures were 18 domain names and 1000 servers
03/2012 – FBI and Microsoft seize servers and 800 domain names
Third Party Legal Issue - “Innocent Data seized along with “guilty” data because both on the same server.
Do you know what is on your cloud’s servers?
Who Owns Data In The Cloud?
Electronic Communications Privacy Act (ECPA) – This Act distinguishes between communications ( s newer than 180 days , texts, etc.) and stored data (cloud storage, s older than 180 days)
Communications require Search Warrant; Stored Data requires only a subpoena.
Do You Have A Guaranteed Exit Strategy?
Many Clouds vendors do not guaranteed stored files / records will be recoverable in event of a server crash or disruption in service (seized servers).
Read the User Agreements – If stored data is lost for any reason, its gone forever and vendors cannot be held liable for data losses.
Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)

57. Other Limitations and Risks of the Cloud
Security and privacy of information is maintained in a shared environment and is located outside of organization
Control of data / infrastructure does not reside within the organization
Very limited RM capabilities over records in cloud
Limited interfaces with organization systems
Guaranteed availability and performance of services
Maintaining data integrity throughout life of the records
Customization limited
Lack of control over software upgrades
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

58. How Records Management can help with clouds
Records manager is involved in the planning, development, deployment, and use of cloud computing solutions
Define which copy of records will be declared as the official record or merely a copy
Determine if records in a cloud environment are covered under an existing records retention schedule
Determine how records will be captured, managed, retained, and disposed of, or transferred to State Archives
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

59. Ways RM can help clouds - continued
Conduct a records analysis for records in a cloud environment
Develop and submit records schedules for unscheduled records in a cloud environment
Periodically test transfers of records to other environments
Determine how data will be migrated to new formats so that records are accessible throughout their life cycles
Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)

60. Any Questions? Got Questions?
***Please complete an Evaluation – in with on-line session instruction***

61. HELPFUL CONTACTS
Records Management Center (LAPR): Phone: Karen Gray Phone: Jerry Lucente-Kirkpatrick: Phone: Dr. Melanie Sturgeon: Phone: Toll Free: (Arizona only) State Ombudsman’s Office State Attorney General – Public Records Publication AIIM – Global Community of Information Professionals ARMA International: Institute of Certified Records Managers (ICRM): National Archives and Records Management (NARA): National Association of Government Archivists and Records Administrators (NAGARA):
Thank you for participating in our Public Records Statutes training.
I hope we answered all of your questions – but also raised some questions you can take back to your public body and begin the process of finding those answers.
In the you all received that contained the two documents describing how to access this on-line classroom, you should also have received an Evaluation Form. If you could, please complete your Evaluation Form and then either fax it, or it, or…..mail it back to Jerry’s attention.
We hope to see you at another training soon – perhaps one or both of our IPER trainings to be offered in late-Spring.