Transcript Slide 1

Washington State Archives
Toolkit for the Future
Electronic Records Preservation
Presented by:
Russell Wood
State Records Manager
Overview
• Tools for preservation and the future
• Chapter 434-662 Washington
Administrative Code (WAC)
• Partners in Preservation – Digital
Archives
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)
On the endangered list
How many floppy disks, CD’s, tapes,
DVD’s, or other soon to be obsolete media
contain records of enduring value that are
not well preserved and in danger of being
unreadable and inaccessible?
Archival Records
The mission of the Washington State
Archives is to preserve and protect
archival records
• To centralize
• To make widely available
• To ensure permanent preservation
What does Archiving mean for
Electronic Records?
To protect and preserve machine readable
records of enduring legal, historical or fiscal
value from loss, alteration, deterioration and
technological obsolescence in an
environment independent from that which
produced the record.
Records in the Electronic Age
“Digitized”
Those records scanned or otherwise converted
into a digital or electronic format
“Born Digital”
Records created on a computer or other electronic
device
WAC 434-662
Pursuant to the provisions of chapters 40.14, and
42.56, and 43.105.250 RCW, the rules contained
in this chapter are intended to ensure that
electronic public records are securely preserved
for present and future access and/or are
transferred to the Washington state digital
archives for permanent retention so that valuable
historical records of the state may be centralized,
made more widely available, and insure
permanent preservation.
#1 in the Tool Kit
Records Management
“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”.
ISO 15489
Also known as…
“Should it stay, or should it go?”
#2 in the Tool Kit
Retention Schedules
An approved legal document that
specifies minimum retention periods for
a record series and gives agencies
ongoing disposition authority after
approved retention periods are met
The process
• Schedules are developed, submitted for
approval and become the legal authority
for retention and disposition
• Records series with enduring value are
designated as “Archival” by the State
Archivist
• Archival designation appears on Records
Retention Schedules
Disposition
• At the end of the retention period, one of
two things happen – the record stays or it
goes
• Archival series are transferred to the
custody of State Archives for preservation
and protection
#3 in the Tool Kit
Applying the Knowledge
Applying good recordkeeping
fundamentals and using retention
schedules to manage and protect
electronic records
#4 in the Tool Kit
Using What You Have
• Can use your existing resources
• Do not need to purchase additional
technology to manage your electronic records
• Policies and procedures, education and
training are key!
Tools and tips
• Make the most of the existing technology
tools, maximize potential
• Use records management and retention
schedules to make information
management effective and efficient
A brief word on metadata
THE IMPORTANCE OF METADATA
• Descriptive information that facilitates management
of, and access to, the objects being described –
“data about the data”
• A means of describing:
– What is in the record
– Circumstances of creation and use – the 5 W’s
– Who, what, why, where, when
• Need to maintain metadata as part of complete
record to establish authenticity, facilitate retrieval,
and to understand the record’s context and
relevance
Metadata happens
• Can be automatic
– Date and time stamp, creator, title and
other identifiers for an e-mail
• Can be manually applied
– Elements can be manually applied to aid in
indexing, searching and retrieval (subject,
titles, record series, classifications and
more)
Using Metadata
• Basic metadata
– Minimal metadata provides the essential
information about the item
• Expanded metadata
– Supports the management of a record, helps
search and retrieval functionality
– Identifies, provides context, and authenticates
for electronic records management and
discovery (FBI as case example)
E-mail Metadata
Basic
• To and from
• Date and time stamp
• Cc
• Subject
For example
Koziara, Leslie
From:
Sent:
To:
Subject:
Koziara, Leslie
Friday, July 18, 2008 9:15 AM
Wood, Russell
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
360-586-4893
More e-mail metadata
Expanded
• Return path tells other computers who really sent the
message and where to send error messages
(bounces and warning)
• Received field with its complete address and time
stamp; this helps in tracking delivery problems
• Message-ID, a unique identifier for this specific
message. This ID is logged, and can be traced
through computers on the message route if there is a
need to track the mail
• Bcc metadata
Basic metadata
Expanded metadata
Scanning metadata
Expanded
• Even a physical item may have metadata
– Barcodes
– RFID (Radio Frequency ID)
Metadata aids in inventory and
location of physical items
Even to the end
• Metadata “stubs” provide evidence of the
disposition process
• Act as a record of the destruction of
electronic documents - “in-house
destruction” document for compliance
Let’s play celebrity metadata
• Pick a celebrity
– Movies
– Sports
– Music
– Art
• Use key words to “file” that celebrity
E-mail Management
• E-mails are “born digital” and their metadata
establishes their authenticity as a record
• E-mails need to be retained in electronic format
for their minimum retention period according to
records retention schedules
• By printing e-mails and destroying the electronic
records you may damage the authenticity of the
e-mail
• Agencies can still print e-mails, as long as the
electronic record is retained
E-mail as a record
• Not all e-mails are records
• Risks with “auto delete” functions
• “E-mail archiving” is just usually “e-mail
storage”, it does not generally contain
retention or disposition functionality
How to keep
• Identify key records series
• Create classification and file structures
• Develop naming conventions (controlled
vocabularies)
• Determine best storage method for your
agency needs
• Educate and train users, use desk guides
and “cheat sheets”
Electronic file cabinets
Think electronic “file cabinets”
Just like traditional metal cabinets
used for paper
Setting up the files
• 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
E-MAIL MANAGEMENT STRATEGY # 1
PRINT OUT E-MAILS
(Not Recommended)
Print ONLY if you are keeping
electronic version according to
retention
PRO:
• Paper easier to preserve
• Can file with existing paper records
E-MAIL MANAGEMENT STRATEGY # 1
PRINT OUT E-MAILS
(Not Recommended)
CON:
•
•
•
•
Metadata is lost
Greatly reduced functionality – not searchable
Authenticity issues – ability to manipulate before printing
Court proceedings are increasingly finding paper copies
inadequate and are requiring submittal of electronically
stored information (ESI) in native file format
– Armstrong vs. Executive Office of the President – hard
copy is a “dismembered document”
E-MAIL MANAGEMENT STRATEGY # 2
FILE MANUALLY WITHIN E-MAIL SYSTEM
PRO:
• Saves metadata and remains searchable
CON:
• Access and use only by individual user – no central
storage or access
• Keeping in e-mail system slows system down –
mailbox limits
• Random filing practices, 10 people = 10 different ways
of filing, 10 different file names, 10 different places to
look
How it works
• Individual users move e-mails determined
as records into folders they have set up
– Should be able to do with any e-mail
application
• Users then are responsible for retention
and disposition
• Random filing practices, lack of naming
conventions can make searching difficult
Can look like this
Another example
E-MAIL MANAGEMENT STRATEGY # 3
MANUALLY IN FOLDERS ON SECURED SHARE
DRIVE OR SERVER
PRO:
• Provides consistent method for organizing and
retaining electronic records
• Centralized storage, accessible to multiple
users simultaneously
E-MAIL MANAGEMENT STRATEGY # 3
MANUALLY IN FOLDERS
CON:
• Time-intensive and challenging to set up
• Requires use of naming conventions, filing
systems, authentication protocols/access
restrictions
• Requires developing and implementing a filing
structure that is simple and logical for a large
number of people
• Remember that humans are resistant to
change, will need to educate and train all users
in new procedures
How it works
• Designated shared drive is used for
storage or “respository”
• Users save e-mails into specified folders
• Users can retrieve and move at will
• Uses standardized naming conventions
(controlled vocabulary)
• Generally no active retention or disposition
applied, subject to ad hoc practices
In addition
• Can appoint administrator for the LAN
server
• More centralized than individual folders in
e-mail applications
• Increased search capability
• Can apply retention and disposition to
stored records
Can look like this
Next click
Another click
LAN Server – Another Basic Example
Water Quality
CAFO Program
Stormwater
Manual
Boatyard Permits
TMDL
Dairy Farms
W. Washington
Stormwater
Joe’s Marina
Spokane River
TMDL
LAN Server – Using General Retention Schedule
Basic Example
Records
Transient
GS 50
Correspondence
General
Intermediate
GS 09
Most GS 01
Long Term
GS 10
Most GS 03
Archival
GS 10
Most GS 03
Cash Receipts
Banking Records
Payroll
(Retirement
related)
Rules
Regulations
(WAC’s)
Explore your options
• There are several options depending on
your agency needs and resources
• Do your homework and research
• Take the time to develop standards and
business classification schemes, use your
retention schedules!
E-MAIL MANAGEMENT STRATEGY # 4
USING AN ELECTRONIC RM SYSTEM
(E-mail archiving or document management systems)
PRO:
• Can take place manually or automatically
(rule-based, filters, increased metadata elements)
• Can manage e-mail alongside other electronic records
• Centralized storage
• Administrative controls applied evenly
E-MAIL MANAGEMENT STRATEGY # 4
USING AN ELECTRONIC RM SYSTEM
(E-mail archiving or document management systems)
CON:
• Can be expensive
• Initial setup is time-intensive and
challenging
• If entirely automatic, how do you ensure
that e-mails are classified and managed
correctly? (Remember Intel?)
How it works:
• User declares record under predetermined classification or classification
scheme
• Sent to repository
• Administrators have access and control of
centralized repository - search, access,
authentication
In addition
• User can still retrieve own records,
however users cannot delete
• Retention and disposition handled by
defined rules
• Human intervention is still recommended
• Auto deletion is not a good idea
Can look like this
Permit 2007
Application
555 Main St
Declare
Permit 2007
Issued
555 Main St
Declare
Permit 2007
Inspection
555 Main St
Permits 2007
Applications
Issued
Inspections
555 Main St
Declare
Manual or auto
Captured
Administered
Retention & Disposition
Costs
• Costs associated with keeping electronic
records are already being imposed on agencies
due to public disclosure and e-discovery
(Federal Rules of Civil Procedure Dec 1, 2006)
• The costs increase as long-term electronic
information has to be migrated or recopied over
time – “technology happens” to keep up with
demands for accessibility and storage
Reducing Costs
The WAC actively seeks to reduce the
existing cost burden on state and local
agencies for maintaining and preserving
their archival electronic records by
providing the mechanisms for agencies to
transfer archival records (along with the
associated costs for preservation) to the
Washington State Archives
Where to From Here?
• Currently drafting responses to comments,
suggestions and questions received on the draft
Electronic Preservation WAC
• Next step is minor edits and developing a cost
benefit analysis
• Phased compliance with e-mail and website
management sections being considered
• Working group to advise on implementation is
being developed
Thank you!
Washington State Archives
Partners in preservation and access
www.secstate.wa.gov/archives