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Electronic Records Annotated

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Brad Houston

on 6 October 2017

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Transcript of Electronic Records Annotated

A Day (or longer) In the Life
Digitization of Paper Records
E-mail Records
Electronic Records Management
E-records: the very basics
Other Electronic Records Issues
Electronic Records
Retention of a record determined by content, not format!
Student paper submitted in class or via mail
Student paper (e-mailed or D2L-submitted)
Memorandum of conversation
Instant message log
Accession card catalog
Museum accessions database
Form master copy
E-Form template
Memo, typed letter
E-mail message
Paper Analog
Electronic Record
Is it a Record?
Does your file:
Support or document a transaction?
Document the formulation or execution of a policy, interpretation of a policy, or change of policy?
Document Actions taken in response to an inquiry?
Relate to the substantive business of your office or work unit?
Provide information regarding the historical development of UWM programs or people?
If “yes” to any of the above, it is a record!
Some e-records vocabulary
Electronic Record: any record created/maintained in a computer-readable format.
Born-Digital: Records that were originally created in electronic format.
Digitized record: record originally created in paper and scanned to electronic form
Application document: a document created by a desktop application (e.g. Word or Acrobat).

Why keep an electronic record electronically?
Easier to access and share your records with colleagues
Easier to find older records and track for retention
Records may not translate well to paper (spreadsheets, multimedia, etc.)
Much smaller physical storage requirements
n.b. Electronic storage is neither free nor infinite
If you're using the electronic copy to conduct business, it is likely the official record!
i.e. it will need to be produced for open records requests
Creation
Maintenance and Use
Disposition
Destruction
Archives
Inactive Use/Storage
Lay the groundwork for using the records later.
File format
Examples of Sustainable Formats
Text Documents
Images (raster)
Presentation Files
Video
Good
Less Good
PDF, docx, odt
doc, wpd
TIFF, png
PDF, odp, pptx
mp4, AVI, mov
JPEG, psd
ppt
wmv, rv
Spreadsheets/DBs
odt, csv, xlsx
mdb, fp7
Create records in widely-used formats if possible.
If records have long retention (>7 years), consider a non-proprietary, sustainable format.
File naming
Name your files so you can identify their contents at a glance! (where applicable)

Some useful info to include:
Date (e.g. "052912")
Type (e.g. "report", "minutes", etc.)
Unique Identifier (Project name, committee name, etc.)
Avoid "forbidden" characters (@#$&*%/?)
Bad: Minutes.docx
Good: ITPCMinutes050412.docx
Metadata
Many programs (including Office and Adobe Acrobat) let you add more information about your files
Look for "properties" or "about" options
More metadata = Easier to find documents by searching
Appropriate File System
The filing system you choose will depend on your needs:
Alphabetic: simple subject files, case files
Automatic Arrangement, Low Control
Chronologic: financial records, activity tracking
Good for keeping track of disposition periods
Subject: Administrative/Reference Files
Usually tiered organization
Most versatile, requires most vigilance
Organize by series to simplify retention?
An example combining all three:
Correspondence
Reference
FY 2011
Smith, A
Smith, K.
Authenticity Check
Once you begin using a record externally, you should make sure you can prove it's the real thing.
Solution A: Legal Presumption
If your office relies on the record to conduct business, it is
presumed
to be authentic. (FRE 803(6))
This rule assumes that you're making good-faith efforts to maintain authentic records.
Solution B: File Protection
The easiest way to guarantee a file's authenticity is to
write-protect
the file.
Most programs have settings to make a file read-only.
Converting to a static format (e.g. PDF) can also accomplish this.
OneDrive has Versioning and Audit tools that show how files have been changed.
n.b. for documents requiring extra scrutiny/security, simple write-protection may not be sufficient.
Records are still needed for legal or administrative purposes, but not referred to regularly.
Local Storage
Can you still read one of these?
Hardware considerations
Keep your files on robust, sustainable media.
Good examples: Dept. server; External Hard Drive
Bad examples: CD-Rs; DVDs; Flash Drives
Keep your media in good condition and check it periodically to make sure it still works.
Backup, Backup, Backup!
Software considerations
Save record copies of archival documents in sustainable, open-source formats. (Or PDF)
If your records will be kept for longer than 5 years,
migrate
them regularly.
(If you're not sure how to do this, ask an archivist.)
In general, migrate records every two versions of the software that originally created them.
Migrate: to update file formats to newer versions and/or newer storage media.
OneDrive/Cloud
Be very, very careful about storing records here.
OneDrive
Other Cloud
Not recommended
for confidential records (FERPA, personnel, etc.)
Sensitive (internal) records should be stored with additional security (e.g. encryption)
Make sure your permissions are set correctly
Not recommended for storage of any university records.
UWM has no contract with these services! Ask yourself:
Are your records safe from data breaches?
Are records backed up? What happens in case of disaster?
Who owns/licenses your content? (Check the EULA--- it might not be you!)
You should follow all relevant Records Retention/Disposition Authorities (RRDAs) for electronic records.
You should follow all applicable Records Retention and Disposition Authorities (RRDAs) when destroying records.
If a record belongs to a particular series in its paper form, its electronic form is part of that series as well.
Just hitting "delete" may or may not be enough!
In cases of particularly sensitive information, contact Information Security for assistance with secure destruction.
If a record has been created or maintained digitally, the UWM Archives prefers to receive it in that format.
We can accept electronic records via a number of media:
Internal or external hard drives
Removable media (CD-Rs, DVD-Rs, Flash drives)
Direct transmission (E-mail attachments, OneDrive)
The procedure for transferring electronic archives is mostly the same as for paper records... but not entirely (see the website!)
Clearly indicate any confidential records!
Complex enough to have its own Prezi!
Database Records
Before you begin: Strategize
(In other words, why are you looking at implementing a digital imaging system?)
Will your digitized records supplement or replace your paper copies?
How does digitization improve your business processes?
What kinds of records are you digitizing? How does that change what information you need to provide?
How many records do you need to digitize? What is your annual accumulation?
How long must digitized records be retained?
Don't assume that digitization will NECESSARILY save your office money!
Formats such as images, maps, etc. will require additional metadata.
Storage is cheaper than it used to be-- but not free. Budget for future additions!
Do all digitized records have RRDAs? If these are long-term records, how will you keep them readable?
Systems specifications
Your systems should include,
at minimum
:
Open Systems Architecture
Controls and System Auditing
Image Authenticity Tools
Appropriate Scanning Resolution
Indexing System Database (for access)
Does an existing system meet your needs? (ImageNow)
These are records maintained in HRS, PAWS, Tracking databases, etc.
The "record" here is a row in a database
Records have retention periods... the database itself does not
Some questions to ask:
Where is the database physically housed? On which server(s)?
Who has access to add records? To edit or delete records?
Is your office the primary caretaker?
(Hint: if the database is HRS, the answer is "no". Ditto PAWS unless you work for Enrollment Services/Registrar)
Creating entry forms based on data fields may help to conceptualize database records.
https://prezi.com/jz0cc6zcjevy/email-and-records-management-spring-2013/#
(An updated version for Office 365 is coming in April.)
Most email falls under one of two retention schedules:
Transitory Email: Little value after used/event referenced.
Destroy when no longer needed
Routine Email: Project-related and/or informational for everyday activities.
Destroy after 6 months
File and retain other email according to record series!
Inbox rules can help with this
Historical email-- correspondence that documents a decision/policy formation
"I have email I want to save..."
Don't store important email in the trash!
Automatically emptied after 30 days
Use inbox rules, folders, and tags to sort and file significant emails
Clean your inbox! Helps you ID/find the good stuff
Download attachments, but keep them with the emails
Often the most important part of an email!
The archives can accept email files as part of electronic transfers.
Talk to these people first:
Your unit IT department
UITS (large/high-bandwidth projects)
Information Security Office
Records Management
Legal Affairs
Purchasing (if using a CMS)
See also Records Management Digitization Guidelines:
http://www.uwm.edu/secu/docs/other/S_63_Digitizati_Guidelines.pdf
Security and Data Breaches
E-records provide greater access/collaboration, but also increased risk.
Take an inventory of potential confidential records.
FERPA? HIPAA? Credit Card/SSNs? Personnel?
Find a way to indicate that a record/folder is confidential, especially if it comes to the Archives.
Keep personal and university records separate.
Don't take home records, or put records on a device (laptop, thumb drive, etc.) that leaves the office.
Maintain robust passwords for any account with sensitive information.
Dispose of records according to their schedules to minimize the chance of data being leaked.
If a security breach DOES occur:
Contact the Office of Information Security
Be prepared to discuss with Info Incident Response Team
Determine who may have been affected by the breach
Keep a log of everything you do!
General Tips
Above all...
Social Media
Departmental social media accounts are records!
Social Media is a record when a post:
is unique and unavailable elsewhere.
contains evidence of your policies/procedures.
is being used to conduct work.
contains information for which there is a business need.
Best Practices
Managing as Records
Post information that is helpful and useful to your followers and fans.
Be responsive to feedback and inquiries.
If you have a personal social media account, clearly identify it as such.
Make sure your tone reflects positively on UWM!
See also University Communications' Social Media Guidelines: http://uwm.edu/wp-content/uploads/sites/115/2014/06/Social-Media-Guidelines9-13-12.pdf
Most social media records are covered by RRDA UWBC0002 (destroy when superseded).
Do not post any confidential information to social media.
Posting as part of class activities is fine-- but be smart about it
If your social media feed contains unique information, consider archiving/exporting it.
Twitter and Facebook provide tools for this
Web archiving is capturing some UWM accounts
Assume that all social media communications, including DMs and private messages, are public records
...and can therefore be discovered by a records request
General E-recs Tips
Brad Houston, University Records Officer
houstobn@uwm.edu
This presentation available at: https://prezi.com/1vlezuwur6ol/electronic-records-management/
Thank you
Treat your e-records the same as "normal" records for retention.
Have a systematic way of finding/accessing your e-records.
Always be mindful of your security needs.
Have a plan to keep your long-term e-records accessible and readable.
Resources
PantherFile Migration instructions
https://uwm.edu/pantherfile-retirement/
E-records at UWM
http://uwm.edu/libraries/archives/uwm-records-management/electronic-records/
Email Management
http://uwm.edu/libraries/archives/uwm-records-management/e-mail-management/
UWM Learning TECHniques courses on Office 365
http://www4.uwm.edu/learningtechniques/classroom/schedule.cfm
Departmental file-shares are best for long-term storage.
Personal devices are usually OK, but make sure to back up regularly and store securely
Use of OneDrive for storing FERPA-protected files is strongly discouraged.
Make sure permissions allow only "legitimate educational interest" access
Encrypt files locally if possible. (Ask Info Security for help with this.)
Never
use external cloud sources to store FERPA-protected files.
Where do I put my student records?
You are responsible for managing supplementary records, too:
Forms and other inputs
Reports and other exports
Especially useful for "snapshots"
Documentation for using/interpreting the database
Database-adjacent?
Retain these records for the same amount of time as the database records.
You are primarily responsible for maintaining Sent Mail...
...But keeping emails in a conversation is useful for context
CCs are usually non-record
may be kept for reference
Personal, SPAM, BACN, and all-campus emails have *no* retention rules-- delete away!
Which emails do I *actually* have to manage?
The Outlook client lets you...
Save individual emails as EML or MSG
Auto-Archive to set up periodic exports of folders
Export to File (from Import/Export menu) to manually export to PST or CSV
Share folders to distribute access/local storage
Archiving with Outlook Desktop
See also: http://uwm.edu/libraries/archives/uwm-records-management/preferred-file-formats-for-electronic-records/
Web Records
UWM has been partnering with the Internet Archive to capture the uwm.edu domain since 2012.
Web information and posted records (meeting minutes, newsletters, etc.) automatically captured
May not be the official record-- check with Archives before disposing of material
If you want a specific series collected (or excluded), let us know!
See also UWM's Information Security Policy, https://www4.uwm.edu/secu/docs/other/S_59.pdf
Source: Public Records Board, http://publicrecordsboard.wi.gov/docview.asp?docid=20770&locid=165
What Happens When I (or a supervisee) leaves UWM?
For "regular" e-records (word documents etc):
Delete all non-records from personal machine/storage space
Move records critical to your office/department to shared space (dept. file share?)
Create a list of the files/folders you need to share with your department
(Your local IT can help you with this)
"Should I print my e-records?"
Generally not, unless you have administrative need to do so.
Keeping records electronic=greater chance of you being able to find them later!
For records in a system (e-mail, PeopleSoft, etc.):
IMPORTANT: The "email magic" no longer works with O365!
Save emails of departing employees with:
Ongoing records use
Historical interest (high profile)
Litigation risk
If records in a system fall into one of the above:
Export records to a shared file server
Make sure permissions are set to allow colleagues/supervisor access
Contact Legal/Information Security to arrange a hold
PantherFile is Going Away!
As of 2017, PantherFile will be retired
OneDrive or SharePoint (with additional security) will be UWM's distributed file share
Start reviewing your PantherFile for records past their retention date and delete them
Download your PantherFile library, then upload it via OneDrive desktop client!
More info: https://uwm.edu/pantherfile-retirement/
You must have an active retention schedule for all records to be managed in ImageNow!
Should I digitize my records at all?
Maybe-- if at least two (and preferably all three) of the following are true:
1)Your office has a very large amount of records
2) Your office is required to hold onto records for a long time
3) Multiple people need to access records on a regular basis
If your department will need a SharePoint site for group space, contact the Help Desk ASAP.
Session Takeaways
By the end of this workshop, you should be able to:
Identify electronic records and key terms
Understand best practices for working with e-records from creation to destruction
Determine the best storage option for different kinds of electronic records (including cloud options)
Assess whether digitization is appropriate for your records, and next steps if so
Perform basic navigation and file management tasks in Microsoft OneDrive (or know where to go for help)
(Implementing)
This is an annotated version of a presentation given multiple times at UW-Milwaukee between October 2015-May 2017.
I went through a lot of false starts on training for e-records management-hopefully you can use this presentation to avoid them!
What is this?
This presentation follows the flow of the original where appropriate-- text in this font is annotations.
Records creators often aren't aware that electronic copies are records! Hence the need for this primer.
I added this box after the first time presenting this so participants had some easy self-assessment criteria. (And to focus the prezi.)
You'd be surprised how often you have to repeat this.
Know your audience! What do they *need* for their job?
Very different set of vocab presenting to IT professionals etc.
Your e-records training will be the first RM training of any kind for many participants. Throw them a bone.
Another major hurdle to climb. Be prepared to make this case early and often while implementing your e-records program.
This section is from my main RM presentation!
I adapted it for e-recs to drive home the parallels with paper.
Another opportunity for "content, not format"
This is far and away the most important bit to emphasize, because this is where most user "RM" will happen.
I know, I know... but e-records is the Art of the Possible.
This is mainly important where creators are adding records to EDM systems (SharePoint etc.)
I'd leave this out the next time I did this presentation-- too technical for the average user!
Examples are SO critical. Good file naming practice is generally a quick win for you and for your users.
Again, quick wins. Talk about why folders are better than search alone.
I skipped this after Iteration #2 of this presentation-- people were zoning out.
Know your audience-- Authenticity concerns typically of interest to few specialists.
This was *usually* effective, but invariably there's one person in the session who has the legacy hardware. Caveat presentor.
I added the definition (and the suggestion of help) after getting a bunch of blank stares in Iteration #1 on migrating files.
Another question you will be asked with depressing frequency.
You MUST have guidelines for working in the cloud (official and unofficial applications.)
(If you don't have them yet, get writing!)
Talk to your IT/Info Security/Procurement Team EARLY in the process.
If the selected solution doesn't include functionality your users need, they *will* go external.
If the selected solution doesn't include a way to export records, enormous red flag.
Be prepared for the "but I thought digital storage was cheap" question:
Cost of hosted server space
Cost of on-site data center maintenance
Cost of retrieval
Litigation/Data Breach issues
Added after we started archiving UWM's webpage in 2012-- surprising amount of RM to be done on the public web...
Another later addition brought on by a spoliation claim against UWM.
Protect yourself-- have a end-of-employment records policy to start!
After Iteration #1 I eliminated this section from the main path of the presentation.
Scope creep! A lot to cover, limited attention spans
Email in particular a huge can of worms
Worth keeping content to use later
Why its own section? Because people will assume that imaging records is a panacea.
These are good questions for you to be asking about your *own* imaging process.
These guidelines assume a highly decentralized records structure, and the section was added because multiple departments were "going it alone."
Either way, a good idea to have a policy about best imaging practices... just in case.
Frankly these are good departments to have on your side anyway...
You could spend an entire session on this and e-discovery alone...
...So you want to just hit the basic quick wins in a high-level instruction like this.
Did I mention that you should cultivate a friendship with your infosec person?
(When, not if, a breach occurs, you can make him an advocate for good RM very quickly. Destroyed records=no breach!)
Good advice in general, but especially when it comes to e-records.
Another topic that could be its own presentation.
For these records, your agency's public affairs/outreach office needs to get on board.
This definition may be familiar to many of you...
If you have industry-specific concerns, don't forget to address them!
Other Topics Worth Addressing
Public vs. Private Records
Apps/Texts/other Mobile
That pesky "transitory" issue
The legality/admissability of e-records
City of Milwaukee Records Officer
recmgr@milwaukee.gov
Full transcript