Electronic Records Management

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Electronic Records Management. Session 5 of 7 on records management. Session Guidelines and general information. Session 5 of 7 on records management. Presenter(s). Karen Gray Records Analyst (Records Retention Schedules and Imaging – State Agencies )
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Electronic Records ManagementSession 5 of 7 on records managementSession Guidelines and general informationSession 5 of 7 on records managementPresenter(s)Karen GrayRecords Analyst(Records Retention Schedules and Imaging – State Agencies)Archives and Records Management BranchAnd / orJerry Lucente-KirkpatrickRecords Analyst(RM Training; Retention Schedules and Imaging – Local Agencies)Archives and Records Management BranchAnd / orMelanie SturgeonState ArchivistArchives and Records ManagementLibrary, Archives and Public RecordsArizona Secretary of StateAdditional Contributions to this trainingSteve AdamsSenior Records AnalystNational Archives and Records Administration (NARA)(From presentation to NAGARA - Indianapolis, given on July 11, 2013)General Guidance for on-line sessions1. Please remember that while you are in the on-line classroom, all other participants can hear everything you say (even in the background), and can see everything you write on the whiteboard.2. I will be muting ALL participants to help with sound distortion.3. Please make sure that all phones are muted during the sessions. Press *6 and your phone will be muted.4. Feel free to submit notes during session for discussion. If you would like to send a note / comment, please send to “all” so that everyone can see the question and then hear the answer to that question.5. Please raise your hand (by clicking on the icon top left) if you wish to speak6. Take a vote: How many of you are participating in today’s session with a group of co-workers?7. If so, how many of you are there in your group? (Send # as a note)***8. At the end of the training, we will be taking questions. Write down any questions you have during the session, and we will have an opportunity to ask them at the end.***All Records management in arizona is governed by Arizona Revised Statutes (ARS)
  • In Arizona, everything that we do in Records Management is governed by Arizona Revised Statutes (ARS).
  • The ARS that govern Records Management are:
  • § 41-151.14 – §41-151.19and Portions of §39-101 – §39-128
  • The purpose of this training today is to discuss the management of electronic records.
  • Electronic Records statutesWhat is a “record”41-151.18. Definition of records
  • "records" means all books, papers, maps, photographs or other documentary materials,
  • Regardless of physical form or characteristics,…
  • Made or received by any governmental agency in pursuance of law or in connection with the transaction of public business…
  • As evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained in the record,
  • and includes records that are made confidential by statute.
  • Arizona Electronic Transactions Act
  • 44-7041. Creation; retention; conversion of written records
  • Each governmental agency shall determine if, and the extent to which, the governmental agency will create and retain electronic records and convert written records to electronic records.
  • Any governmental agency that is subject to the management, preservation, determination of value and disposition of records requirements prescribed in sections 41-151.12, 41-151.13, 41-151.14, 41- 151.15, 41-151.16, 41-151.17, 41-151.18 and 41-151.19 and the permanent public records requirements prescribed in section 39-101 shall comply with those requirements.
  • C. All governmental agencies shall comply with the policies that are established by the secretary of state pursuant to section 41-132 and that apply to the use of electronic signatures.
  • Scanning Records Needs Pre-approvalARS 41-151.16(A)Each agency of this state or any of its political subdivisions may implement a program for the production or reproductionby…digital imaging or other electronic media of records in its custody…and index such records for convenient reference. The agency, before the institution of any such program of production or reproduction, shall obtain approval from the director of the types of records to be produced or reproduced and of the methods of production, reproduction and storage and the equipment which the agency proposes to use in connection with the production, reproduction and storage. Approval pursuant to this subsection is necessary for digitizing programs but not for individual instances of digitization. On approval from the director, the source documents may be destroyed…Imaging Request FormsHere is the link to the Imaging Request Forms:http://www.azlibrary.gov/records/forms.aspxImaging and Microfilming FormsRequest for Document Imaging of Public RecordsUsed for scanning paper into any formatRequest for Microfilming of Permanent Public RecordsUsed for filming paper onto Microfilm or Use of an Archive WriterCertificate of ComplianceCompleted by Public Body and their Microfilm Vendor to certify microfilm records are created, processed and stored according the theAZ Standards for Permanent RecordsUnderstanding electronic recordsWhy RM Needs to Be at the Table with IT for Records / Data System Design and Purchases.Electronic Records in Your OfficeWhat types of e-records do you have in your office?Word, Excel, Access, PowerPoint, etc.E-mail, Texts and VoicemailsDigital Photos, Maps, and Videos Databases – HR, Finance, etc.Web pagesSocial MediaGISCloud-based storageThe Good, The Bad, and the ElectronicThe Good:
  • Take up little space
  • Easily searched and quickly retrieved
  • Easy to attach files to an e-mail
  • Keep audio, video and text together
  • The Bad:
  • E-mail viruses
  • Computer hackers and crashes
  • Un-patrolled wireless networks
  • Forwarded email / text messages
  • Laptops are easy to lose and easily stolen
  • Creation or ReceiptAnd CaptureActive Use & DistributionMigration“Online” storageInactive: “Near-line”Inactive: “Offline”DispositionDestructionElectronic Records LifecycleArchivesSteve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Characteristics of Electronic Records 1. Content
  • what a record says; it is the data or information contained in the record
  • 2. Context
  • refers to what makes the record meaningful. It tells why a record was created and its relationship to other records
  • 3. Structure
  • refers to the way in which information is organized, which greatly affects our ability to understand it
  • 4. Behavior
  • is the ability to perform queries, manipulate data, and display the records. Behavior may include:
  • Embedded sound or video files
  • Animation
  • Response to queries or other manipulation
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Functional Requirements for Electronic Systems
  • A manual or automated system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition
  • Records management systems must be able to:
  • 1. Declare a record
  • 2. Capture records
  • 3. Maintain and use records
  • 4. Facilitate records transfer
  • 5. Facilitate records disposal
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)1. Declare a Record
  • Assign unique identifiers to records and their associated metadata. (Think of indexing electronic records)
  • Collect as much metadata automatically as possible, and reliably link metadata to the records
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)2. Capture Records
  • Allow import of records from other sources
  • Create a link from the electronic recordkeeping system to a record in its native system
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)3. Maintain and use records
  • Define and implement organization-specific file structure linked to records retention schedules
  • Define, manage, and control levels of authorized user privileges (Who can access what and how much)
  • Link records to other records
  • Import information from other sources
  • Prevent unauthorized modification or deletion of records and metadata
  • Provide audit trails of all addition, update, deletion, and retrieval activity
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)3. Maintain and use records - continued
  • Maintain appropriate backup copies of records and provide recovery procedures
  • Maintain the integrity and security of redacted records
  • Records can be read and accurately interpreted throughout their useful life in the system
  • Provide search and retrieval features and options to meet organizational requirements
  • Print and / or view all records and system control information
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)4. Final Disposition: Transfer of Permanent Records
  • Identify permanent records eligible to be transferred to State Archives, based on records retention schedules and disposition instructions
  • Export records and metadata (i.e., copy and subsequently remove them from the system) in an acceptable format for historical preservation
  • Maintain Electronic Permanent Records Yourself, per AZ Perm Standards or Transfer to State Archives
  • Enable a record to be kept of all records transfers, providing certifiable proof of transfer and chain of custody (Agreement to Transfer Records to State ArchivesForm)
  • Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)5. Final Disposition: Destruction of Non-Permanent Records
  • Identify non-Permanent records eligible to be destroyed, based on records retention schedules and disposition instructions
  • Delete records in such a manner that they cannot be physically reconstructed or otherwise retrieved
  • Enable a record to be kept of all records destructions, providing certifiable proof of destruction (Report of Records Destruction Form)
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Data Migration
  • The preservation of record integrity requires that the record be authentic, reliable, and complete, and possess sufficient context
  • Electronic records of continuing value need to be migrated through successive upgrades of hardware and software
  • Data Migration is a set of organized tasks designed to achieve periodic transfer of digital materials from one hardware / software configuration to another
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Why Migrate?
  • Electronic systems and softwarechange regularly
  • Documents must be copied to new media while they are still readable
  • However, keep in mind:
  • The obsolescence as well as the physical lifetime of the new media and new formats (PDF A)
  • The fact that copying may change data format, compress, encrypt, etc.
  • The fact that copy cycles may have to be quite short to be safe, requiring a firm, funded commitment
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Challenges of Data Migration
  • Not all Electronic systems / software interact with others systems (Do you have silos of “dead” data?)
  • Do records exist in a single medium or as a multimedia record?
  • Some records comprise a number of elements
  • Relying on metadata embedded in computer software and hardware to link content and structure to context
  • Preserving intellectual-level connections and control mechanisms among the various elements
  • Typical IT Cycle: Upgrading hardware and software every 18 months to three years
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Data Migration Best Practices
  • Move data from current media to fresh media about every one to five years
  • Move data from obsolete media as necessary
  • Convert data from obsolete software to current software as needed
  • Convert data from obsolete operating system to current system as needed
  • Have IT staff perform the migration
  • Verify the success of the migration with IT by comparing pre and post-migration records (content)
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Options for managing electronic records Storing Electronic Records Electronic records should be stored in an approved record-keeping systemthat must do the following:
  • Logically relate group of records in accordance with your office’s file plan
  • Ensure that the records are accessible to authorized persons throughout the life of the records
  • Support retention of the records for as long as required (may require migration or other solutions = Continued Costs)
  • Enable transfer to the State Archives of Permanent records
  • Facilitate destruction of records automatically based upon an approved Records Retention Schedule (Retention Module)
  • Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Confidentiality and Legal admissibilityConfidential Records:
  • Protect it – deleted is not erased
  • Must be able to separate Confidential from non-confidential material if requested
  • Think before putting everything on your website / in an email
  • Legal Admissibility:
  • You need to ensure e-records are
  • reliable or trustworthy
  • accurate
  • authentic
  • complete
  • Created during the regular course of business
  • Follow established procedures
  • Audit trails and Chain of custody
  • Timeliness
  • Alphabet Soup of options
  • ECF —Electronic Case Filing
  • EIS —Electronic Information System
  • EDMS —Electronic Document Management System
  • ERMS —Electronic Record Management System
  • ECM —Enterprise Content Management
  • What you want to do with your Electronic Records / Data / Information will impact which option you chooseSome content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Electronic Case Filing – ECF
  • Electronic Case Filing (ECF) occurs when the documents themselves are filed electronically by scanning paper, or through the maintenance of documents created and transmitted electronically.
  • The case file containing the stream of documents accumulated about a particular transaction or project is the primary repository of all information about that transaction.
  • ECF Tracks only One-type of records
  • Steve Adams (From presentation to NAGARA - Indianapolis, given on July 11, 2013)Electronic Information Systems – EIS(Databases)
  • An electronic information system (EIS) is an automated system that contains and provides access to records and other information
  • It captures (creates) information, but unlike an electronic records management system, it does not manage information throughout the lifecycle
  • Databases are most common types of EIS
  • Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Electronic Document Management Systems - EDMS
  • An electronic document management system (EDMS) is a set of software / hardware applications that provides for the management of documents
  • Among its capabilities:
  • Supports creating, editing, and reviewing work in progress
  • Manages creation, storage, and control of documents during daily use
  • Works well with mixed electronic record formats
  • Provides for sharing of files and information
  • Usually requires purchase of a separate Retention Module to automatically apply retention and disposition to its records / data / information in EDMS
  • Most popular solution for managing all types of electronic records– from a RM point of view
  • Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Electronic Records Management Systems – ERMS
  • Electronic Records Management System (ERMS) is a system in which records, regardless of format, are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition
  • An ERMS: allows us to establish and manage:
  • Retention and disposition rules
  • Security and access controls
  • Digital rights management
  • Information sharing
  • Findability
  • Provides for compliance and disposition
  • **Major Difference from EMDS = Contains unchanged, redundant information (does not allow records to be updated)Major use – eDiscovery since it preserves all versions of information. Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Enterprise Content Management – ECM(IT solution to management e-content)
  • Enterprise Content Management (ECM) is the document management term which describes the technologies used by organizations to capture, manage, store, and control enterprise-wide content, including documents, images, e-mail messages, instant messages, video, and more
  • NOT usually for RM purposes
  • ECM software is used to assist in content control associated with business process
  • Includes web content management, search capabilities, collaboration, digital asset management (DAM), work-flow management, and document capture and scanning
  • Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Comparisons
  • EIS is a database and does not have records management built in
  • EDMS deals with electronic records but does not always include records retention and disposition module / tools
  • ERMS deals with all formats of records and is designed with records management built in (Think about use for e-Discovery as a tool for compliance)
  • ECM captures, manages, stores, and controls enterprise-wide content throughout the records lifecycle. Tool for IT Management of all types of information on its systems
  • Some content by Steve Adams (Presentation to NAGARA - Indianapolis, given on July 11, 2013)Problem Areas between Electronic records and Records ManagementProblem Areas for e-records
  • Differences to watch out for between It and RM practices:
  • E-Records Retention & Formats
  • Data Warehouses / Archives vs. Back-ups
  • Databases
  • Social Networking (RM Session 6)
  • E-mail (RM Session 7)
  • Paper Vs Plastic : E-Records Retention
  • A.R.S. 41-151.18 – no difference between paper records or electronic records (including scanned or “born digital”)
  • Retention Schedules are legal documents that will stand up in court
  • Retention Schedules – list the records that are created or received by public bodies – regardless of whether created on paper or electronic
  • Retention Schedules – list the retention period for these records
  • Retention period for records are same for paper or electronic. When you destroy paper records you need to destroy the electronic ones, as well
  • Copies of records are not records – as long as they are truly a copy
  • Archives / Data Warehouses vs. Backups
  • Backups
  • Short-term retention for disaster recovery
  • Usually copies of information that exists elsewhere
  • Copies of information are not records.
  • Risks: The longer backups are kept, the more risk they contain unique records and not copies
  • Archives / Data Warehouses
  • Usually longer-term retention
  • Often contain unique information not found anywhere else (off-line records)
  • Archives / Warehouses ARE records
  • Implications: Archives will need to be searched as part of Public Records Requests, Audits, Government Investigations, Litigation
  • Databases & Formats
  • Databases contain electronic records – not just data
  • Databases contain ma
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