Dealing With
Electronic Records
Leslie Koziara Turner, CRM
Electronic Records Management Consultant
Overview of Today’s Session
• Paper vs “Born-Digital” Records
• Organizing and Managing Electronic
Records
• “Mobile Devices, Social Media, and other
Burning Electronic RM Topics
What is a public record again?
Definition and classification of public records
“Public records shall include any paper,
correspondence, completed form, bound record book, photograph, film, sound recording, map, drawing, machine-readable material.…
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
Some basic truths
Related to and used for the conduct of the business of government:
• Regardless of format:
Clay tablet, pen and paper, phone, e-mails, word docs,
excel spreadsheets, databases, websites, blogs, wikis, social media, or any other emerging applications or platforms
• Regardless of device used to create it:
Main frame computer, PC, laptop, smart phone, notebook, tablet, Google glasses or any other emerging technologies
• Regardless of location/where it’s stored or accessed:
PC, laptop, flash drive, smart phone, notebook, tablet, or the cloud
What is an electronic record?
(really)
Paper or Electronic?
Regardless of how it was created:
• If the transaction of public business
occurs in paper then the paper record needs to be retained
• If the transaction of public business
occurs electronically then the
Paper or Electronic? #1
• Employee contracts are drafted using
Microsoft Word and then printed
• New hire and agency staff sign the
printed contract
• Transaction of public business occurs in
paper so the signed paper contract
What is “Born Digital”? #2
– A request to change a student’s address
is submitted in hard copy to the school
– Information is transcribed into database – Transaction of public business occurs in
paper, so the submitted hardcopy record need to be retained – that form is the
evidence and the authority to make the change requested
Paper or Electronic? #3
• Board minutes are drafted using Word
• Draft minutes are converted to .pdf and
distributed via email to board members in agenda packet
• Paper record is signed at the meeting
Approved minutes transaction occurs on paper
Born Digital? Keep It Digital!
• 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.
Why Printing Doesn’t Work
• Metadata associated with “born
digital” records establishes the
authenticity of the record, providing evidence of the transaction taking place
• Printing electronic records (e.g. emails)
preserves the informational content but not the authenticity of the record
Bridging the gap
Scanning and tossing
•
Still have a lot of paper!
•
Want to transition from hybrid
“Going paperless”
Does NOT mean simply tossing the paper based copies after scanning
If you are still creating paper based
records as part of your business process, you are not “going paperless”
Digitizing Records
Scanning and indexing of source documents does not automatically
authorize the destruction of the source documents for which images have
been created.
What you need to know first
Paper-based source records must be
eligible for destruction
• There must be an appropriate records
series approved for agency use
• The records must be designated as
NON-ARCHIVAL
Any Non-Archival record series is eligible for “scanning and tossing”
Where do I find out if records are
NON-Archival?
All approved retention schedules will note if records have a “Non-Archival” or
• Ensure complete capture of the source
record.
• Resolution – depends on nature of record.
300 DPI meets or exceeds all requirements.
• Records with retention periods of 6 years or
fewer can be scanned into lossy or lossless
formats including .TIF, .PDF, .PDF/A, .JPEG.
• Records with retention periods that are
longer than 6 years must be scanned into
lossless formats such as .TIF or .PNG.
Archival Records are NOT to be destroyed!
The archivists will do an appraisal to determine if they want either one or the other or both to be included as
part of the Archives collections for preservation.
For certain records, there is an intrinsic archival value to the paper it is on
with a signature or seals affixed. For other archival records the value is in the information itself,
not piece of paper it is captured on
Preservation of Electronic Records
If you are replacing a paper record with a scanned image, you must maintain that
image (and any indexing information) for the entire minimum required retention
period.
The records must remain readable,
searchable, retrievable, and authentic
throughout that period. (WAC 434-662)
Access and Retrieval
Develop appropriate business and
recordkeeping metadata in order to identify, access and manage in the future – recommend
5 – 7 fields (humans all think differently!) Date (when)
• Agency/Entity (who it is)
• Document type (what it is)
•Other identifiers so that you can locate it
again (and again, and again!)
Predicting the future
Planning for future access requires
making choices based on stability
and longevity
Remember when?
Cassette tapes 8 track tapes
Insurance policy
For certain long-term records, it is not a bad idea to consider
MICROFILM (yes, microfilm)
Microfilm is stable and technology independent In the event of a disaster, images can be written
from film for restoration and access
State Archives will inspect and store your microfilm for free
Disposition and Destruction
Images are subject to the same rules for records management, public records
requests and litigation holds
Do not destroy images if an open records request or litigation hold is in place
Make sure images are destroyed at the end of their required retention periods in
accordance with approved records retention schedules (WAC 434-663-615)
As with paper records, retention and disposition requirements are determined based on the content and function of the
record…NOT the format
Minimum retention periods apply regardless of the format of your agency’s records
Meeting requirements
Are you required to keep it?
Know your business, know your process
What are the functions of that business unit? What activities support those functions?
What other regulations/requirements are there for that particular business unit and business
CONTENT AND CONTEXT
All retention is driven by CONTENT AND CONTEXT about the business processes of the agency
What is being said/done?
Who is doing what to whom and why?
Is this a business transaction and part of a business process?
Is this the proof or evidence of the execution of business or a transaction? Is there an action/decision that needs to happen?
Does it support accountability and transparency?
What about emails? – See above
OR Are emails simply delivering an attachment?
In most instances, the attachment is the record, not the email
There are exceptions, it’s important you know your records and processes and identify up front what you may be required to keep!
For example, if you are in Human Resources and accep job applications via email –
Email Messages
CAUTIONARY NOTE:
Considering keeping only the last email in a thread? Be aware:
• The preceding emails (and their metadata)
are captured only as text in the body of the final email
• Authenticity – has the text been changed? • Does the final email capture the complete
record? Was the discussion a simple thread, or more of a tapestry?
Copy to better search locatioin Copy sent to self via email –
search email when needed later
Some users cannot access SharePoint –
copies placed on Box
Project Team
Agency Team
IT – Manages Storage Space, Restructures Shared Drives ? Records Management Today
Difficulty in isolating information results in non-responsive groups of records
being locked for PDR.
IT helps search for PDR records and freezes them
in place
Recrds Ofcr PDR - Legal
Solution:
Organization and Structure
• Store things so we all can find them and get rid of the expired and the ROT (redundant, outdated and trivial)
• Disposition in a way that’s convenient, consistent, timely, accurate, and cost effective.
We’ve been using them to organize paper for hundreds of years because they worked!
You can apply it to desktops, servers and email systems too!
Organize using what you have
• You can align established files for
paper and adapt/apply the same filing structure to electronic filing
systems
• Desktops, drives and servers are
nothing more than electronic file cabinets
• Humans will need to develop the
Individual folders can be located within
individual email accounts, electronic “file cabinets,” etc.
Folders that must be accessible to multiple users can be on shared drives or network
locations.
Records with long-term retention periods should be moved from active use
locations to inactive use locations.
TIP: If you use Microsoft Outlook
You can easily move emails from your Outlook account to a network location. Saving emails in
.msg format captures the entire record, including attachments.
Active use
Inactive use
Records are less likely to be accidentally deleted on a shared drive than they are when sitting in
Create a game 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
Make a plan
This doesn’t need to be done overnight
(It didn’t happen overnight, it’s been years in the making)
Pick just ONE business unit at a time to tidy up Eating an elephant is best accomplished by
Example from
CORE
Additional file folders can be created as necessary under
Disposition – It’s a verb
Take Action!
• Apply same retention and disposition
practices to electronic records as you would paper-based records
• Regularly schedule disposition to get rid
of those items that have met their minimum retention
• Document your agency’s records
Transferring Archival Electronic Records to the Digital Archives
Electronic Records Consultant will help coordinate the transfer of your records
• Identify records eligible for transfer
• Formats, organization, and quantity of records • Preparation for transfer
• Subsequent transfers of additional records
My device = my records?
It may be your
personal device or account,
but if it’s being used for agency business, keep in mind that you are accessing
(and sometimes creating)
Using a Personal Email Account for
Agency Business
• Should be avoided – this should be reflected in agency policies
• Draw line between personal and business (there is software available to assist)
• If you must send from a non-agency account,
copy to agency email address at same time • If you receive a business-related email on a
personal account, forward to agency email address and retain that as primary copy
Scenario: Text Messaging
• Third-party provider – retention can be problematic
• Who has custody/control of the record?
• How is the agency ensuring that the record is captured/retained appropriately?
• If texting is used for agency business,
recommend that its use be limited to those for
whom it is truly necessary (e.g., for specified
law enforcement and emergency management functions)
Social Media and Cloud Storage:
Do You?
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?
5 Key Considerations
• What are your agency’s rights if the social
media provider goes out of business?
• How will you keep your accounts secure? • Do you have control over what your
customers see when they visit your social media page?
Read the terms of service
agreements!
“a worldwide, non-exclusive, royalty-free license to use, copy, reproduce, process, adapt, modify, publish,
transmit, display and distribute such Content in any and all media or
distribution methods (now known or later developed).” TWITTER
Technology “du jour”
• Chances are the medium will NOT be
around to meet the minimum retention requirement(s) for the records within
• The agency is responsible for its records
wherever they happen to reside
• Obsolescence or failure
is bound to happen
You wouldn’t sign a
contract on an Etch-A-Sketch, would you?
Using Social Media
• Records with retention value need to be captured and retained by agency
Generally entails 3rd-party capture tools, e.g.,
TweetTake, SocialSafe, PageFreezer, etc. (note: these systems currently just store, they do not actively MANAGE your posts)
Should not rely on social media provider to retain
• Even if use not authorized, agency may be held accountable for elected officials/employees
acting in official capacity on social media
• Agency should have policy delineating terms of use, any training required
Look
Before
You Leap!
Make sure your
agency will be able to manage the
creation, receipt, retention, archival transfer, destruction AND disclosure of its
public records
