Yevich ERM

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    Elect ro n ic Reco rd sManagem en t at VMFA

    Courtney Yevich

    VMFA ArchivistFebruary 2008

    cour [email protected]

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    Wh at is a pu bl ic reco rd , and w hydo yo u n eed to care?

    The detailed warrants gave the agents

    broad authority to search the museums'galleries, offices, storage areas andcomputer archives. They were looking forobjects and records related to theprimary targets of the investigation.Los Angeles Times, January 25, 2008

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    Virg inia Pub l ic Reco rd s A ct (VPRA)

    Recorded information that documents a transaction oractivity by or with any public officer, agency or employeeof an agency

    The medium upon which such information is recordedhas no bearing on the determination of whether therecording is a public record

    Source: Virginia Public Records Act, Code of Virginia ,

    Section 42.1-77

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    A re e-m ai l m ess ages p ub l icreco rds?

    ABSOLUTELY! More and more business is conducted by e-mail,

    replacing memos and letters

    State agency employees are responsible for managingall of their e-mails, including messages sent andreceived

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    Is e-m ail su b jec t to FOIA ?

    ABSOLUTELY! E-mail records are subject to the same accessibility

    requirements as other public electronic records theyare exempt from access only if they fall within theexemptions provided under FOIA

    Requests from the public for e-mail records must behonored in the same manner as other public records

    E-mail records must remain accessible during their entireretention period and should be maintained in such asmanner as to permit easy access and timely retrieval

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    Exem pt ion s f rom FOIA There are many types of state agency information that are exempt from FOIA

    discovery, including: Personnel information SSNs and other indentifiable personal information Security information (system plans, codes, etc.) Identifying financial information (account numbers, etc.)

    Legal counsel Minutes from closed session trustee meetings Unpublished scholarly research

    Additionally, the museum is committed to protecting: Values of art (appraisals, insurance, etc.) Dealer correspondence Conservation evaluations Insurance policies for art Terms of anonymous gifts Sales transactions Other sensitive donor information (especially of a financial or contractual nature)

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    Em plo yee resp on s ib i l i ties

    As an employee of a state agency, you must manage allof your information assets, both paper and electronic. Ifyou dont, you can create serious legal, operational andpublic relations risks from the museum

    Moreover, you can lose your job, be bought to trial, oreven go to jail for up to five years

    If any person steal or fraudulently secrete or destroya public record or part thereof, he shall be guilty of aClass 6 felony.

    Source: Code of Virginia, Section 18.2-107

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    Wh at is a pu bl ic reco rd?

    Administrative records-Correspondence, annual reports, calendars,meeting agendas, meeting minutes, org charts

    Financial records

    - Contracts, budget materials, reports Personnel files Research files Fundraising / grant records

    -Reports, expenses, applications Policies and procedures Publications

    -Final drafts, production files Program files

    -Course listings, descriptions, logs

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    What is n o t a pub l ic record?

    Reference materials- Articles, booklets, flyers, newsletters

    Blank forms or templates Copies of materials for distribution*

    -Policies, procedures Transactional e-mail / announcements

    -Meeting times, lunch dates, staff associationevents, holiday schedules

    Listserv messages Personal e-mail Personal electronic files

    -Photos, errand lists, itineraries

    *If you are not the original distributor

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    Reco rd s ap p raisal

    All of the values below will be considered when determiningwhich records are permanent or temporary, and if so,how long to keep them:

    Administrative: continuing utility in the operation of the agency

    Fiscal: documents and verifies financial authorizations, obligations,and transactions

    Legal: documents actions taken in the protection and proving of

    legal or civil rights and obligations of individuals and the agency

    Historical: contains unique information, regardless of age, thatprovides understanding of some aspect of government andpromotes the development of an informed and enlightened citizenry

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    Reco rds reten t ion sc hedu les

    GS-102

    Checks and Checking 012096

    This series contains reports, cancelled checks, returnedchecks, check registers, checking statements, andother records relating to the agencys checkingaccounts.

    Retain 3 years or until audit, whichever is longer, thendestroy.

    DispositionStatement

    RetentionStatement

    Series Nameand Number

    ScheduleNumber

    SeriesDescription

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    Did you create it? Did you receive it?

    From insideagency

    From outsideagency

    Delete when nolonger needed

    File and deleteaccording to

    retention period

    Print or file forpermanent retention

    Is your departmentthe official

    record creator?

    Is this a copyof a record another

    dept. keeps?

    Delete when nolonger needed

    Youchanged it

    You didnt change it

    Informationalor reference

    Temporaryrecord

    Permanentrecord

    Delete sender

    should file

    Determine type of record

    Record

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    Storage and des t ruc t ion o fpaper reco rds

    Separate temporary records from permanent recordsand box them separately; remove hanging files andmake sure file folders are labeled; label the boxes well,including dates

    By state law, all original records destruction must bedocumented and signed off on by the records officer andthe COO

    If you do destroy any duplicate copies of records and itcontains sensitive, personal information, it MUST bedestroyed properly to avoid identity theft. Treat it as if itwas your own personal information!

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    Recent c h an ges to th e VPRA t im ely des t ruc t ion o f reco rds

    Temporary records created after July 1, 2006 must bedestroyed in a timely manner, within one year of theretention period expiring

    Records that contain identifying information must be

    destroyed within six months of the expiration of therecords retention period Identifying information is defined as the presence of any

    one or more of the following: Social security number Driver's license number Bank account number Credit or debit card number Personal identification number (PIN) Electronic identification codes

    Automated or electronic signatures Passwords

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    Elect ro nic reco rdsm anagem ent ch al leng es

    The ease of copying and modification the greatadvantage of digital media is a major liability

    Media degradation and obsolescence (hardware) Format obsolescence (software)

    Uncontrolled accumulation and duplication Ease of uninformed and unintentional destruction Maintaining records in a way that will enable retrieval of

    all records relevant to a transaction when they areneeded in the future

    Solution: cooperation between records management staff,administration, legal counsel, information technologystaff, and all agency staff

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    Goo d elect ro nicreco rdk eepin g pract ices

    Do not save permanent records to your hard drives!! Overall, saveeverything you can to your shared network drive, which is secureand backed up daily

    Ensure that consistent descriptive information is found in each file(title, author, date, etc.) to create context

    Model your folder structure on your departmental retention scheduleand/or on your paper files

    Do not duplicate files on your networked drive that also reside on

    your departments shared drive

    Do not create a folder structure based on the program used (Wordfiles, Excel files) because that doesnt tell you anything about thecontent of the files inside

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    Fi le nam ing t ips

    File names must be unique so that if they are moved from one locationto another, they will not be confused with another file (i.e. dontcreate two folders called Spr08 and Win08 and just name the filein each Report)

    Common elements of file names:

    Version number (v1, vers1) Date of creation (021408, 02_14_08, 20080214) Name of creator (RBSmith, RBS) Description of content (Medkit, Report, Corr)

    Intended audience (Pub, Int, Conf) Name of group associated with record (CommABC, Trustee)

    Always include the date (at least the year) in file or folder names fortemporary records because that will make destruction compliancemuch easier!

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    Storage m edia opt ion s

    The best place to store any electronic record is on themuseums server spaces because they are secure andbacked up daily.

    Portable storage media (CDs, DVDs, USB drives, etc.)all pose security and data loss risks.

    Even when properly cared for, all storage media haslimited life expectancy affected by quality, age,condition before and after recording, handling, frequencyof access, and storage conditions.

    If you do need to put information on storage media, youshould only save temporary information there, anythingthat has a lifespan of less than 5 years.

    CD-Rs are the preferred storage media right now theyare more stable than CD-RWs and DVDs and USBdrives are still rapidly changing technologies.

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    E-m ai l i s m an ag ed b y

    i ts co ntent , n o t it s fo rm at .

    You will not find e - mail on any retention schedule

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    Wh en is e-m ai l a reco rd ?

    Approve or authorize actions or expenditures Formal communications between staff, such as

    correspondence or memoranda relating to officialbusiness

    Signify policy change or developments Create precedents, such as messages issuing

    instructions or advice Involve negotiations on behalf of the museum

    Have enduring value for other people or the museum asa whole

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    Wh at is e-m ai l no t a recor d ?

    Delete messages with short-term value, such as:

    Reference materials-Newsletters

    Copies of materials for distribution*-Policies, procedures

    Transactional e-mail / announcements-Meeting times, lunch dates, staff association

    events, holiday schedules Listserv messages Personal e-mail Spam

    *If you are not the original distributor

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    (1) From: WallyTo: A1 Asphalt Subject: Contract clarification Message: This is a good question. The intent of that item in the contract is to

    (2) From: Commissioner Patterson To: All Staff Subject: E-mail policy Message: Please read carefully and comply with the following e- mail policy

    (3) From: KevinTo: Daniel Subject: Re: Draft for review Message: Sorry about the delay. See what you think about this draft and get back to

    me by Thursday

    (4) From: BradTo: MindySubject: Committee appointment Message: You have formally been appointed to the Department Improvement

    Committee

    (5) From: LauraTo: Staff on the 9th Floor Subject: Party Announcement

    Message: Join us on December 18th for our annual holiday celebration. This yearwe hope

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    (6) From: HughTo: SarahSubject: Fwd: Joke Message: Heres a good one! A giant grasshopper goes into a bar

    (7) From: SandraTo: JaneSubject: Information for annual report Message: Here are the statistics I gathered for the annual report. Let me know if

    (8) From: Leon

    To: RogerSubject: Letter of complaint Message: Dear sir, I feel compelled to send you this complaint about the people

    working in your department

    (9) From: KellyTo: JohnSubject: Not feeling well Message: Sorry Ive been out of the office, but I have been battling this terrible cold

    for days now. Can you please let me know what

    (10) From: JohnTo: All Managers Subject: Instructions for travel form Message: Here are the instructions for filling out the newly updated travel form

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    Wh at to d o w i th e-m ai lsthat are reco rd s?

    Do they have enduring value? At this point, truly important permanent e-mail should beprinted and stored with other paper files, or kept inOutlook

    Do they have temporary value?Store on acceptable media for required length of time in Outlook, on storage media (CDs, DVDs, flash drives,

    etc.), or on a networked hard drive

    When in do ubt , p r in t i t ou t !

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    A w ord abou t p r in t ing

    Print version must include:

    Addresses of specific recipients (including Cc and Bccfields), not names of distribution lists

    Address of the sender Date and time the message was sent and/or received Subject line Body of e-mail message All attachments

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    How s ho uld yo u org an ize yo ur sen tmai l?

    (1) Manage it like your inbox, deleting those that you dontneed to keep, and filing those that you would need tokeep (e.g. youre the originator of a record, you offer adecision or solution to a problem)

    (2) Always Cc or Bcc yourself when you know youresending an e-mail you will need to keep so once itarrives in your inbox, file it away. Then you can safelydelete your sent mail at regular intervals.*

    *If youre sending e -mails with sensitive or personal information, they will needto be destroyed properly

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    Sam ple m ai lbo xorganizat ion

    Permanente-mails

    Referencee-mails

    Inbox asto-do list

    Temporary

    e-mails

    Retain inOutlook for now

    Retain until nolonger needed orsuperseded

    Retain for6-12 months

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    So d o I real ly n eed to clean ou tm y in b o x ?

    ABSOLUTELY!

    Our e-mail system will be moving to a central storageserver space with VITA in about 18 months. At that point,the size of our mailboxes will be greatly decreased andmany of you will exceed your limit immediately.

    When we move to central storage, simply archiving all ofyour old e-mails with no regard to content is not advised.

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    Elec t ron ic records des t ruc t ion Just like paper records, all electronic records destruction

    will be handled by the Archives.

    Once temporary electronic records in variousdepartments have been identified and they become

    inactive records for a department, they will be moved toa specific location on the servers to await destruction atthe expiration of their retention period.

    All documentation for electronic records destruction willbe signed off on by the records officer and the COO.

    Destruction of any electronic records with sensitive orpersonal information must be done by the Archives.

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    A ud i ting fo r t im ely des t ruc t ion

    The state will be auditing state agencies for compliancewith timely electronic records destruction.

    Organizing records in folders according to subject areaand then fiscal or calendar year allows for easymonitoring of retention periods and disposal of records atthe appropriate time without manually sifting throughhundreds of e-mails or files.

    Once your departments retention schedule has beenupdated to include electronic records, regular destructionwill occur (e.g. each summer, financial records will bedestroyed).

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    A rch iv ing e-m ai l

    Three methods of archiving e-mails outside of Outlook:(1) Print e-mails and maintain them with your paper files(2) Save e-mails as text files on the secure network server,

    not on your hard drive(3) Create personal archive folders (.pst files) and store

    them on the secure network server, not on your harddrive

    The best system is a combination of methods 1 and 2: Print and file all permanent e-mails Store all other e-mails in folders based upon subject

    and date and destroy records routinely based uponretention schedules

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    Iss u es w i th .p s t f i les

    Backup issues (the default setting is to save them toyour hard drive, so you must remember to put them onthe networked drive)

    Messages takes up more space in a .pst file than inOutlook or as other type of electronic file

    Security issues Hard to apply retention schedules because all folders are

    saved together Global searches no longer possible, making discovery

    very difficult Uses a Microsoft proprietary format

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    What to do w i th a tt ach m ents?

    Three options for preserving attachments:(1) Save the e-mail and attachment together in Outlook(2) Save the attachment on your hard drive or shared drive

    and delete the e-mail (this is when the e-mail simplysays something like Look at this attachment.)

    (3) Print the e-mail and attachment and save them in paperformat

    If attachment should be kept permanently, method 3 is thebest.

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    Other elec t ro nic reco rd typ es

    All of these types of records have special needs and canbe discussed individually with departments:

    Databases a born digital record type that has nofunctional paper equivalent

    Web content agency websites are public records andneed to be managed as such

    Digital images our digital image archives are our on themuseums most valuable information assets

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