Washington State Archives

1. Washington State Archives Electronic Records Management: Improving Your Outlook Presented by: Leslie Koziara Electronic Records Management Consultant, Western Washington leslie.koziara@sos.wa.gov

2. Requirements for Electronic Public Records Requirements and Guidelines (by format) Scanned /Digitized Documents Email Websites Web 2.0 The Digital Archives Overview

3. 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!

4. For the purposes of retention and destruction, two criteria: Regardless of format Made or received in connection with the transaction of public business (Chapter 40.14 RCW) For public disclosure, refer to Chapter 42.56 RCW. What is a Public Record?

5. Retain all public records for the minimum retention period as listed on approved Records Retention Schedules Once retention is met : Destroy if not an archival or permanent series If permanent, take appropriate action to retain Contact State Archives for appraisal and transfer of all Archival records Records Retention in a Nutshell... Washington State Archives Documenting Democracy

6. Can I Print and Delete? WAC 434-662-040 Electronic records must be retained in electronic format and remain usable, searchable, retrievable and authentic for the length of the designated retention period. Printing and retaining a hard copy is not a substitute for the electronic version unless approved by the appropriate records committee.

7. Metadata associated with “born digital” records establishes and preserves the authenticity of the record which is the evidence of the transaction it documents. Printing electronic records (e.g. emails) preserves the informational content but not the authenticity of the record. Why Printing Doesn’t Work 7

8. Other Common Questions • Why not keep everything? • What are the agency’s obligations regarding public disclosure with electronic records? • Whose responsibility is it to manage email records? • For paper records, can I “scan and toss”?

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

10. Destruction After Digitization (DAD) Agencies wishing to scan paper records and then dispose of the primary (paper) copies before their required retention has been met must obtain authorization to do so. • Appropriate policies/procedures to ensure authenticity • Appropriate preservation measures • Appropriate retention/disposition procedures http://www.sos.wa.gov/archives/RecordsManagement/ DestructionAfterDigitization.aspx

11. Scanning and indexing of source documents does not automatically authorize the destruction of the source documents for which images have been created. (WAC 434-663-600) Digitized Records

12. Options when digitizing • Digitize and retain the paper original for the full required retention period; OR • Apply for and obtain DAD authorization, and destroy the paper originals after scanning, indexing and verification; OR • Create state standard-compliant security microfilm from the digital images; OR • For records with Archival designation, transfer originals to Archives after scanning.

13. 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

14. A winning strategy for electronic records • Identify the record • Organize • Disposition Washington State Archives Documenting Democracy

15. Identify Using approved records retention schedules will help you: • Identify records you need to keep • Identify records you can get rid of • Identify records needing additional attention • Essential • Archival

16. Local agencies use both: Local Government Common Records Retention Schedule (CORE) AND Sector-specific records retention schedules (including relevant sections of the Local Government General Records Retention Schedule (LGGRRS)) Which Schedule do I Use?

17. CORE • Agency Management

18. CORE • Human Resource Management

19. http://www.sos.wa.gov/archives/ RecordsRetentionSchedules.aspx Where to Find Retention Schedules

20. Think electronic “file cabinets” Desktops and servers are digital “file cabinets” used for storage Just like traditional metal ones Organize!

21. Electronic Record Life Cycle CONSIDER CONTENT If NO retention value Delete Create or Receive Record Properly ID Record / Save DESTROY and document destruction When retention is met, ID records for destruction Non-Archival Keep until retention met If Archival Transfer Approve for destruction

22. Have a plan • Create a “file plan” or “file structure” • Link to retention schedules • Pre-determined file folders provide consistency, centralization and organization • Mirror the plan throughout – use same structure for paper, email, desktop, network drives and servers • Develop desk guides and cheat sheets

23. Can be as individual “drawers” – working files set up in folders in email application Can be work group or section “file drawers” with folders set up on shared drive or server used by group Can be “central files” or “records center” – “file drawers” in a central repository for longer retention Set up structure

24. Retention of Emails and other electronic records

25. Individual users move e-mails into pre-determined folders that mirror those on server or shared drive Good to set up as “working files”, or for transitory records or with minimal retention value Recommend records with longer retention value be retained on drives or servers Within email applicationHow it works

26. Using email application folders Remember: • Recommended use is for short-term or temporary retention • Mirror folders you set up on network server or shared drive • Match up to retention schedules • Use shared drive/server for records with longer retention

27. Next level Additional folders can be set up to further define the content – easy to locate and search, still all under DAN # GS 22005 Mirror this structure on shared drive or server for records with retention value Be diligent with cleaning out records with no retention value in these “working files” and save primary copies to shared drive

28. Designated shared drive or server is used as centralized “file cabinet” or repository Users save their emails into pre-determined folders in specific “drawers” Users can access in a centralized location Generally no active retention or disposition applied, but can set up system administrators to track files Organizing in shared drive or network serverHow it works

29. Can look like this Conferences & Seminars GS22005 Create file “drawers” and create appropriate folders in a server or shared drive “electronic file cabinet” Marry up with appropriate retention schedules and mirror pre-set email folders

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

31. Email regarding meeting room contract By using the .msg extension, it can saves record copy emails electronically and preserve the metadata as well – also will save attachments Using classifications and naming conventions make it easier to search and locate the information

32. Local Gov’t CORE

33. An example Additional file folders can be created as necessary under each record series Additional records series under a category can be added

34. Another example This series only has a 3 year retention, so can get rid of these files sooner • This is an essential record and should have additional back up. It also has a long term retention This is a PERMANENT, ESSENTIAL and POTENTIALLY ARCHIVAL series and should noted and handled accordingly Also a PERMANENT, ESSENTIAL and POTENTIALLY ARCHIVAL series

35. Public Works

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

38. School Districts Instructor/Teacher

39. 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.

40. Course Description

41. DAN # SD 51-06A-19 These records all have a PERMANENT RETENTION Tag for special treatment and work with IT to ensure long term retention, accessibility, and authenticity. Back-ups and security are a must!

42. Law Enforcement Case Files

43. State unique example This series is ARCHIVAL - 9 year retention for agency, then transfer to archives Can identify certain files as exempt or other special handling

44. Helpful hints • Use existing retention schedules! • Consult with users, enlist their input • Work on keeping file names short and simple, yet make sense to users • Keep it under 255 characters & spaces, otherwise may have problems with access and retrieval

45. Retention Requirements of Agency Websites

46. Agency internet sites provide advice / information about the agency, its programs and services Made in connection with the transaction of public business (RCW 40.14.010) Internet sites are public records Websites are Public Records

47. Intranet sites provide advice / information about the agency’s polices, procedures, etc., to employees Made in connection with the transaction of public business (RCW 40.14.010) Intranet sites are public records Websites are Public Records

48. All state and local agencies must retain all web content in accordance with the approved retention schedules (WAC 434-662-140) Electronic records must be retained in electronic format and remain useable, searchable, retrievable and authentic for the length of the designated retention period (WAC 434-662-040) Retention Requirements

49. Applying Retention to Agency Websites

50. Website Design/Architecture Website Content Changes to Website Content Records Retention - Three areas