ESD113-What-Should-I-Be-Doing by jizhen1947


									        Washington State Archives

Public Records Management
“What should I be doing?”

                   Presented by:
 Leslie Koziara, ERMP - Records Management Trainer
• What is a record, really?

• Do I have to keep everything?

• How to organize and manage electronic
  RCW 40.14 Preservation and
  Destruction of Public Records
“Public records include any paper, correspondence, completed
form, bound record book, photograph, film, sound recording,
map, drawing, machine-readable material, compact disc
meeting current industry ISO specifications, or other
document, regardless of physical form or
characteristics, and including such copies
thereof, that have been made by or received
by any agency of the state of Washington in
connection with the transaction of public
      Two Key Points
 • “regardless of media or format…”

• “made or received in connection with
  the transaction of public business…”
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
         □ Yes                □ No
You come back to your desk following lunch and your
computer indicates that you have two email 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.
Is this a public record?

        □ Yes               □ No

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

Is this a public record?

             □ Yes         □ No
          Content matters
• Policies, significant decisions,
  commitments, or important meetings
• Messages that facilitate or document
  actions affecting the conduct of business
• Requests or provides substantive
• If content protects rights – legal, fiscal,
  property, other
  Records with little or no retention
• “FYI” or information requiring no action
• Social, meeting or announcement type of
  notices i.e. potluck notices, cookies in the
  break room type of announcements
• Personal messages and “chit-chat”
• Spam and junk mail
• Get rid of it as soon as you can!
   Official or record copies
  When does a document become an
          “official” record?

– The moment you begin typing?
– Need email approval?
– Other electronic means?
– Requires hard copy signature?
             Primary copy
   For retention purposes, only one copy of
   the record needs to be kept and retained
     according to the appropriate retention

This is the copy that an agency is to keep for
 the minimum required period as outlined in
          records retention schedules
            Finders keepers
  Who is the record or primary copy holder?
• Is someone else keeping this message?
  – How many people were cc’d?
  – Does this record already exist in your office’s
    official files?
  – Another department or section?

    Having policies and procedures in place will
    help determine responsibilities for retention
There may be times when two “record” or
primary copies (sender and recipient) will
    be kept in order to complete the
 documentation of and provide the proof
     and evidence of actions taken

Keep what you need to substantiate your
    agency’s actions and decisions

    And get rid of the other stuff!
  What about
public disclosure?
Records Management Supports
      Public Disclosure
• Organizing and knowing what you have
  helps you find responsive materials
• Applying disposition reduces the volume to
  be searched and reviewed for e-discovery
• Any archival records transferred to
  Washington State Archives becomes our
        Public Disclosure
        Who Can Help?

                Tim Ford
   Open Government Ombudsman
    Office of the Attorney General
  “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
Citation: ISO 15489: 2001 (International Standard for Records Management)
       Also known as…

“Should it stay, or should it go?”
Records and information are an
   agency’s most important
While ordinary and mundane to most,
     records are a vital necessity!
        • People come and go
 • Records provide the continuity for the
      ongoing operations of agency
      Records Retention in a
• Agencies are required to:
  1. Retain all public records for the minimum
     retention period as listed on the approved
     Records Retention Schedule – regardless of
     format – it’s the content and function that
     drives retention!
  2. Continue to retain or transfer to Washington
     State Archives all archival records
    Your Agency’s
 Records Management
What should I be doing?
   First recommendation

“Fasten your seat belts, it’s going
      to be a bumpy night”
       All About Eve (1950)
       Just a reminder….
As public employees, everyone needs to
have a level of responsibility for the public
      records they create and use

Records Management is a team sport!
        Next step: Policies
   Having policies and procedures in place
    states the expectations and provides
   guidance for employees on the creation
          and use of public records

Demonstrates due diligence in RM practices
  and protects against allegations of gross
  negligence, spoliation claims, and lack of
               “best practices”
            Drafting a policy
Some items to include in your policy:
• Address legal requirements
• Roles and responsibilities
• Incorporate appropriate use
• Fundamentals of records management
• Make sure all media is covered, not just
  – Other electronic communications (texting, IM,
    cell phone, voice mail, blogs, wikis, Twitter)
               Follow up!
• A formal policy that is not adhered to is a
  greater liability than no policy at all
• Make sure users are educated and trained
  in the use of the policy and procedures
• Do periodic compliance checks
      Do an inventory
Know what you have and where it is:

        • Who has records
      • What are the records
     • Where are the records
  • Why are those records there
         • How to manage
     Where are my records?
• You need to know where your records are:
  – Where are the paper records?
  – Where are the electronic records?
  – Who has what email records?
  – Where else may have records?
    (websites, blogs, wikis, social networks, etc)
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
You would not manage each piece of paper
                 by itself

You do not manage each piece of electronic
     information either – apply the same
  fundamentals of records management as
             you would to paper
             Classify it!
        Classification scheme
• Often called taxonomies, classification, file
  plan, file structure, or a records series, it’s
  grouping information or types or records
• Makes it easier to manage as a group for
  retention and disposition
• Provides a consistent, systematic method
  for organization that everyone can use
          For example
           Building Permits
       2009 Building Permits
      Building Specific Address

Grouping information together makes it
   easier to file, search and manage!
Get to know your retention schedules
   Tells you:

 •What records
need to be kept
  – by series

 •How long to
   keep it

•When you can
 get rid of it –
 regardless of

Administrative Materials With No
       Retention Value
   GS 50 or GS 50-02
          Next step:
   Don’t agonize, organize!

     Use your retention schedules

  Everyone should schedule regular
housekeeping chores to maintain files and
         keep out the clutter!
Does your office look like this?
How about your desktop?

      Time Travel

What technologies were in
common use in the typical
      office in 1982?
        “Technology du jour”
• Current trend will probably not outlive the
  records being created

• Need to prepare for next generation of
  users and technologies

• The technology used is not the record, the
  content and function is what matters
        Electronic vs paper
• There is NO difference between electronic
  records management and paper records
  management fundamentals – only the
  methods are different
• Format doesn’t matter
• Content is what matters
• Apply retention schedules equally to all
     Why not just keep it all?
         Consider this:
• 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 when more time is spent
  searching for information.
• What does an attorney or forensic consultant
  charge per hour? What is your time worth?
          Compare the costs
• 1 GB of storage is cheap

• Litigation is NOT cheap

• To REVIEW 1 GB of storage for disclosure
  or discovery the costs add up quickly!
  – Time for staff, IT, attorney, forensic experts to,
    review, sort, compile, and produce
A brief word on 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
   – 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
     Supports authenticity
A complete electronic record contains
sufficient metadata exists to prove:
 • It 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

Koziara, Leslie
From:         Koziara, Leslie
Sent:         Friday, July 18, 2008 9:15 AM
To:           Wood, Russell
Subject:      Electronic Records Preservation Training Packets

Dear Russell: In developing the training and outreach for electronic records preservation, I came
across an article written by the New York Times on that exact subject. I am attaching this article for
your review. I plan on quoting Dr. Berman from the San Diego Supercomputer Center as to how
preservation is something everyone is struggling with and try to raise the awareness of how digital
information is in reality quite fragile, and that budget and costs sometimes are not seriously
considered in maintenance and preservation for the long term.

I’d like to include a copy of the article in the packets for the “Toolkit for the Future” workshop we are
doing on July 31st.

What do you think?

Leslie Koziara
Records Management Trainer
Washington State Archives
  Electronic file cabinets
  Think electronic “file cabinets”

Just like traditional metal cabinets
    used for paper, only digital
      Setting up the structure
• Can be as individual “drawers” – working
  files set up in email 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 a central repository for longer
             Create a plan

• By creating a “file plan” or “file structure”
  pre-determined files are created and used
• Based on records series from retention
• Mirror the plan throughout – use same
  plan or structure for paper, email, desktop,
  network drives and servers
         Daily maintenance
• EVERYONE has a responsibility for the
  electronic records they use and create
• Daily “filing” or sorting should be done
• New behaviors take time, and be sure to
  keep the process simple, and train
  extensively, provide help for users
  (pre-determine files, desk guides, cheat
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 record series/retention
• Implement “universal knowledge”
  – Consider both current and future users
  – Make it easy to use
          When using email
            Just a note
• Educate users when drafting emails to
  provide context by using subject line when
  drafting messages, and be sure to change
  subject line if content and context changes
  during exchange
• Easier to determine content and subject
  without opening, easier to manage and
 Just so you know…there is a difference

              Email Archiving
• Generally just “storage” rather than
  “records management”
• Typically lacks coherent filing structure
• Generally no records retention
  functionality included
     “Filing” emails – within email
              How it works
• Individual users move e-mails into pre-
  determined folders that match those on
  server or shared drive
• Good to set up as “working files”, or for
  records with no retention value
• Recommend “records with retention value”
  be retained on drives or servers
• Good method to get started,
  encourages filing and
• Creates organization and
  control, clears out clutter
• Again, email records with
  retention value best saved to
  network server or shared driving
                    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
“Filing” records in shared drive or network server
                    How it works

  • Designated shared drive or server is used
    as centralized “file cabinet” or respository
  • Users save their electronic records into
    specified folders in specific “drawers”
  • Users can retrieve and move at will
  • Generally no active retention or disposition
    applied, will need to have IT set up
    methods for retention (tags, flags, etc)
                 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

                                 Conferences &

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 matches up with pre-set folders in email

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

                       E-mail regarding meeting
                            room contract

Use the .msg extension to save emails when moving
over to server, it saves record copy e-mails
electronically and preserve the metadata as well

It’s still an email and still acts like an email, you can still
forward and reply
 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 along with all the other formats
together in one place under one record series,
all under the same retention and manage it as
       a whole instead of bits and bytes
                        Another example

     A folder is created for the Destruction of Source
   Documents After Digitization (DAN # 05-11-61010)
As another example, on our shared drive there are folders
   and used by staff for filing documents related to the
       for the Electronic Imaging Systems Approval
   approval process, and all are managed as a group
         This is a unique schedule records series
            according to the retention schedule
  “Requests for Electronic Imaging Systems Approval”
                      DAN 05-11-61010
    This has a 25 year retention so will be tagged for
    additional protection since a long term retention is
 25 year retention, cut-off is upon request approval
Structure as necessary

       Under the “Destruction After
Digitization” folder, there are folders set
  up for each applicant, and multiple
   users can easily access/retrieve
        information as necessary
Community relations
 These records all have a
 PERMANENT retention

 Will need special handling
   to ensure access and
integrity after any migration
  and eventual transfer to
  DAN # SD 51-13-01
These records all have a
retention of 6 years after
   close of fiscal year.

  Delete/destroy once
retention has been met.

 Since folders are set up by
year, all you need to do after
 retention has been met is
 document the destruction,
  and work with IT staff to
 remove files from system.
Course Description
  DAN # SD 51-06A-19
 These records all have a

 Tag for special treatment
and work with IT to ensure
   long term retention,
     accessibility, and
authenticity. Back-ups and
   security are a must!
     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?
     What about websites?
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
          More on websites
• Do those records reside somewhere else?
• Is the website the sole repository of that
• 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 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
• 3rd party software for ECM
      What about databases?
• Apply same principles as websites
  – Content and function
  – Is it a repository of information held
  – 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
Use of
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 ponder
           Ask some questions:
• Make a business case – do you really
  need to add another “technology du
• Check with legal counsel
• Check out terms of service (TOS)
  – 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
• Will use meet overarching regulations?
    – FOIA, ADA, RCW’s, WAC’s
                More issues
•   Copyright and intellectual property rights
•   Privacy, data gathering, data ownership
•   Model releases, other releases
•   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?
 Look at own risk tolerance
• What is the content and function of
  information being generated?

• What are the risks involved in having it
  out there?

• How is the agency protected?
            Several options
• Explore your options, and adapt to best
  serve your agency needs and useage
  – Be sure policies, procedures, ground rules are
  – 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
    Disaster Recovery Storage
         Service (DRSS)
• DA stores agencies tertiary back-up media
  for essential records in our vault
• Project to prevent sneaker netting
• Cost to participants currently is the return
  postage on their containers
• Contact Debbie Bahn -
Contact Information - DRSS

Deborah Bahn – Assistant Digital Archivist
         509-235-7500 ext 207
    Take a deep breath
• No magic one-size-fits all solution
• Fixing it will not happen overnight
     • Acceptance will take time
• It can be done without investing in
         additional technology

        You can do it!!
          You Are Not Alone
          For advice and assistance:

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