State Archives training for electronic records management.
TRANSCRIPT
Electronic Records Management
The transition from paper to electronic media
Information is Becoming More Electronic
Most records are digitally born in various forms, some with associated metadata
This presents new challenges for storage, filing, and retrieval
Policies, infrastructure, and business processes were designed for a paper world
New laws and policies must be written to adapt to the changing environment
Presenter
Presentation Notes
Someone noted at a recent conference of the National Association of Government Archivists and Records Administrators (NAGARA) that 98% of all government records being created today are being created electronically. Electronic media is enabling the dissemination of more information to a wider audience than ever before and therefore government is creating a wider variety of records and reports. So much information is at our fingertips, but changing technology and the abundance of information is creating new challenges for scheduling, retaining and retrieving records. Many business policies and practices were designed for paper records and transferring them to an electronic format doesn’t always make sense. For example, organizing correspondence in alphabetical files may have worked for postal mail, but now that most correspondence happens electronically new processes must be established for storage and retrieval. Many other functions once handled on paper are now handled electronically and this change in format means making adjustments to procedures. Governments need new policies and even new laws to address these changes. Records managers need to be involved.
What are electronic records?
Data bases/data sets
E-mail
Digital images
Web sites
Audio recordings
Work station files
Spreadsheets
Text messages
CDs
Jump drives
Hardware
Software
Presenter
Presentation Notes
What are electronic records? The National Archives defines electronic records as any combination of text, graphics, data, audio, pictorial or information in digital form created, modified, maintained, archived, retrieved or distributed by a computer system. There are thousands of formats of electronic records. Listed here are a few representatives: data bases, data sets, e-mail, digital images, web sites, audio recordings, work station files, spreadsheets, text messages, cd’s, jump drives, hardware, software. Because computer technology is changing so rapidly, technological obsolescence is a problem.
Metadata is data about dataInformation about who created a document, when, who changed it, and when, etc.
It is a record of events about particular files
Metadata is useful in identifying a particular file’s properties when searching for specific information
Accurate metadata is critical to electronic records management.
Presenter
Presentation Notes
Metadata, or “data about data,” is the data that describes the context and structure of records as well as their content. Metadata enables retrieval and storage and is therefore very important for managing records through time. Metadata can identify such things as who created a record, who changed it, and when. Metadata may be a record of events about a particular file or data base. A data base may be multi-dimensional, changing every day. How are the changes captured? Metadata is useful to understand the particular properties of a file, and it is critical to being able to retrieve specific records. Accurate metadata is critical to electronic records management.
Government Records Access and Management Act
Electronic or paper: the same rules apply
Determine a record by content
Record“
…. a book, letter, document, paper, map, plan, photograph, film, card, tape recording, electronic data, or other documentary material regardless of physical form or characteristics: that is prepared, owned, received, or retained by a governmental entity or political subdivision.”
UCA 63G-2-103(22)(a)
Presenter
Presentation Notes
The Government Records and Access and Management Act (GRAMA), passed in 1992, is Utah’s comprehensive law about records. Even though record keeping practices were based more on paper when the law was passed, it is still the legal guideline for records management issues. GRAMA does not dictate format. So, whether a record is in electronic or paper format, the same rules apply. GRAMA states that 63G-2-103(22)(a) . . . a “record” means a book, letter, document, paper, map, plan, photograph, film, card, tape, recording, electronic data, or other documentary material regardless of physical form or characteristics: (i) that is prepared, owned, received, or retained by a governmental entity or political subdivision, and (ii) where all of the information in the original is reproducible by photocopy or other mechanical or electronic means. Thereafter GRAMA goes on to list some things that are not defined as records. Some of these include, personal notes and communication received in a private capacity; temporary drafts or similar material that is prepared for personal use; material to which access is limited by copyright; proprietary software; junk mail, etc. In summary, format has no bearing on whether or not something is defined as a record. A record must have something to do with the government’s business and it must be able to be reproduced. By this definition a telephone conversation is not a record, unless it is recorded, but an e-mail message might be. A personal e-mail is not a record, but an e-mail about government business is. Note that by definition, proprietary software is not a record. So while an information management system is not a record, the information contained therein probably is.
Government Records Access and Management Act
Categorize records into record series
Record series“
…. a group of records that may be treated as a unit for purposes of designation, description, management and disposition.”
UCA 63G-2-103(23)
Presenter
Presentation Notes
For management purposes records are organized into series. GRAMA defines a record series as (UCA 63G-2-103(23) a group of records that may be treated as a unit for purposes of designation, description, management, or disposition.” Some examples of records series are council meeting minutes, voter registration records, contracts, etc. In the paper world record series were probably delineated along the lines of office filing systems. In an electronic records management system series delineation may be less obvious, and the need to maintain and destroy records according to schedule may be less apparent. A simple data base which serves a single function may be scheduled as a single record series, however a records or information management system which serves several functions will include several different record series.
Government Records Access and Management Act
Government records are the property of the state
It is unlawful to destroy or damage records in contravention to an approved retention schedule
Records must be retained according to an approved retention schedule.
Presenter
Presentation Notes
Additional basic records management concepts in the GRAMA are that government records are the property of the state. Records must be retained and destroyed according to an approved schedule. And, it is unlawful to destroy or damage records in contravention to an approved schedule. Records officers have stewardship but not ownership of records and information. This applies to electronic records as well as paper.
Government Records Access and Management Act
Record copy“ …. The officially designated copy of a
record that will be maintained according to an approved retention schedule.
The record copy may be maintained in any format.
Presenter
Presentation Notes
The law does not require records to be kept in a particular format; only that they be retained according to an approved retention schedule. The “record copy” is the official copy that is to be retained according to the schedule. For example, if the same record is maintained in several formats or if there are several copies of the same format, the office may choose which format or copy it will retain according to schedule. Additional copies and formats may be retained for administrative purposes. Even though is not be a legal requirement to keep records in a particular format, the legal requirement to kept something indefinitely may mean that it is not practical to maintain the record copy electronically without a backup. Also, if records are vital to the function of an office multiple formats or additional off-site locations are protection against disaster or emergency.
How long will it last?
Paper or microfilm will last 500 to 1,000 years.
Compact discs have a life expectancy of 5 to 10 years.
Presenter
Presentation Notes
Different formats work better for different purposes. For example, microfilm and paper, if kept in a stable environment, will last for 500 to 1,000 years. Paper is particularly stable and requires little maintenance. Compact discs, which are made of wax and plastic, have a life expectancy of 5 to 10 years. Burning a cd involves impressing a code into the surface of the plastic. As the plastic deteriorates the code disappears. Cd’s do not degrade gradually, but information on them can disappear all at once. But, cds are compact, portable, and convenient. An electronic format effectively disseminates information, but traditional hard copies are easier to maintain over time.
Technology is Changing
5 ½” – 3 ½” discs - cd’s - jump drives
Analogue is becoming obsolete
Permanent retention will require reformatting
Presenter
Presentation Notes
Rapidly changing technology is another challenge to the long-term maintenance of electronic records. We have moved from 5 ½ to 3 ½ inch discs, to cd’s and jump drives, and somewhere in there, there were zip drives. A paper record can be put on a shelf and forgotten for a hundred years, but electronic records must be continually updated and refreshed or the will disappear. The National Archives has identified more than 12,000 different formats for electronic records. Many of these formats are now obsolete. If you need to keep a electronically stored information up to 3 years you can expect to be able to retain it in its native file format. For information that needs to be retained for 4 to 7 years you should plan on one file format conversion. Records that need to be retained for more than ten years will require multiple file conversions. In fact, converting to paper or microfilm may be the most effective and economical way to retain records which must be retained for more than 10 years.
Digital Image ConverterPurchased by 14 counties in the stateEnables local offices to save files on state server for conversion to microfilmArchives captures the files and creates microfilmMicrofilm is kept at Perpetual Storage in Little Cottonwood CanyonArchives has capacity to convert microfilm into digitalTechnology will become available to all
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Presentation Notes
Utah State Archives has been providing micrographic (microfilming) service for government entities for several years. With changing technology traditional microfilm cameras are being replaced by digital to microfilm image conversion. With this process digital images can be saved on the state server. Archives retrieves the images and uses the new image converter to create microfilm from digital images. Fourteen counties originally purchased this equipment, so it is initially available only to them. However, this technology will become available to all.
Digital Image Converter
Purchased by 14 Utah Counties in 2008
Presenter
Presentation Notes
The digital image converter is a simple box with a microfilm camera in the top. The computer in the box causes the digital images to be projected onto a screen on the bottom of the box one at a time while the camera takes a picture. In about an hour the digital image converter can convert up to 2,000 images into one roll of microfilm.
E-mail is correspondence
Classification & retention depend on content
Non-business: not a record
Transitory: until administrative need ends
Policies and procedures: permanent
Presenter
Presentation Notes
Government employees send thousands of e-mail messages each day. E-mail management is at the forefront of electronic records management. In Utah, direction from the state is that e-mail is considered correspondence. Personal correspondence is not a record. And correspondence that relates to government, is broken into two categories: 1) transitory correspondence, which has a retention of until administrative need ends and 2) policies and procedures correspondence, which has permanent retention. Implementation of the e-mail management policies and procedures must be worked out in each governmental entity, which means that e-mail management plans have to be built into the electronic records capabilities before the e-mail is ever sent. It also means that every e-mail user must be trained in the basics of e-mail management.
Records Management Software
Should provide for retention and destruction of selected files
Should have classification capability
Should be able to remove private and protected elements
Presenter
Presentation Notes
In order to manage electronic records, plans for their retention and destruction has to be built into records management systems. This requires more team work than ever before. IT personnel and records managers must communicate and work together. Records management systems also need to accommodate classification considerations such as enabling redactions. When making decisions about establishing records management systems, retention and classification requirements need to be considered.
Digitization Advantages
Easy to disseminateEasy to copyConvenientHigh Density storageEasy to retrieveMultiple users
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Presentation Notes
Digitization of records offers some great advantages. Some of them are: digitization provides easy dissemination of records; it enables convenient copying and retrieval. Digitization allows high density storage and enables multiple users to access the same information at the same time.
Digitization Disadvantages
Dependence on hardwareCan be expensiveTechnological obsolescenceComplicated dispositionMetadata requirementsStaff training required
Presenter
Presentation Notes
Along with the advantages, there are a few disadvantages to digitization, the most obvious of which is dependence on a computer. Equipment and personnel time for digitization projects can be expensive. Rapidly changing technology can make formats obsolete. A disposition of destruction/deletion may be complicated to carry out if the digital images have been widely distributed.
Individual workstation files
Organize in folders for easy access
Temporary drafts are not records
Delete regularly when retention is met
Print important files
Presenter
Presentation Notes
Take the time to organize files on our personal work station or on a shared server to provide ready access. Temporary drafts created to get to a final product are not records unless they were relied upon to carry out an action or policy or were distributed outside the agency (UCA 63G-2-301(k)(j). You can delete additional files when their retention has been met. Perhaps most importantly, if it is important, consider printing it and keeping a paper copy.
What is the solution?
Standardize processes and rules
Implement electronic records management programs
Find technical solutions
Awareness, education, coordination
Presenter
Presentation Notes
Think through the concepts and establish rules and processes. No one can do it alone, so we must communicate and work together to implement records management programs. We can’t solve the problems if we don’t get started. When we understand what our needs are then we can work with the IT personnel to come up with technical solutions. Every one must be a records manager. Electronic records management will not work unless everyone is involved. To make this work we will need awareness, education, coordination, communication, and we will need to keep working at it.
Records Management Committee
Committee should include:Agency records officerIT personnelMembers of each department or section
Meet regularly to establish policies and address records management issues
Work things out one piece at a time
Presenter
Presentation Notes
Electronic records require the involvement of more than just one records officer. Organizing a records management committee within your agency which includes the records officer, IT personnel, and members of each department or section may be particularly helpful. More than with paper, electronic records management has to be facilitated even before the records are created.
Web sites
Agencies are required to allow some transactions to be conducted electronically (UCA 46-4-503)
Archives to maintain public meeting web site (UCA 52-4-202(3)(a)(i)(B))
Presenter
Presentation Notes
The Utah Uniform Electronic Records Transactions Act (UCA 46) deals specifically with electronic records and electronic signatures. It defines products and services that governmental entities must make available electronically. It further states that where a law requires that a record be retained, the requirement is satisfied by retaining an electronic record . . .(UCA 46-4-301). More and more of the government’s business is being transacted on internet. A new law went into effect April 1, 2008: UCA 52-4-202(3)(a)(i)(B) which requires all public bodies to post notices for a public meeting to the new Utah Public Notice Website. Utah State Archives manages this web site. Minutes and attachments can be posted on the web site, but this posting does not absolve the entity of the responsibility to maintain these records according to retention schedules.
