New Horizons in Records Management
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Transcript of New Horizons in Records Management
New Horizons in Records Management
New York Association of LocalGovernment Records Officers
Hunter, New York12 June 2007
Geof Huth and David LowryNew York State Archiveswww.archives.nysed.gov
The continuing challenge
Issues Few records management controls Volume vs value Individuals manage corporate
resources Difficult to destroy and preserve Records lost Inaccessibility of email records Legal liabilities Costs of all of the above
What We Must Do with E-mail Classify File Store Retrieve Read Distribute Destroy Protect Preserve
Developing Solutions Understand your needs
Classification systemsRetention controlsSemi-automated destructionComplex retrieval
Understand your cultureLikelihood of compliance Identify current standard
practicesNeed for training
Understand limitations
Develop an Integrated Solution
Integrate software products Guide your program via policy Set standards for e-mail management Train your staff Monitor compliance Monitor developments Merge IT and RM
Software Solutions ECM
OpenText www.opentext.comStellent www.stellent.comTower Software www.towersoft.com
E-mail managementKANA Software www.kana.comZantaz www.zantaz.com
Full-Text Search ISYS www.isys-search.comX1 Technologies www.x1.comZyLAB www.zylab.com
Instant Messaging
Another communications challenge for records management
Instant Messaging E-communication in real time Need similar software to communicate Exchange different types of files
ImagesAudioText
Good RM Practices for IM Files can be saved in ECMs
Use same retention as email
Transfer info quickly from remote locations
People are used to using it
RM Drawbacks to IM
IMs rarely recognized as records
Transient nature of IM
Possible security risks
Dependence on proprietary software
IM and Traditional RM
Develop written policies and procedures
Set up systems to automatically save IMs
Control use of instant messaging
Resources The National Archives’ FAQs on IM
www.archives.gov/records-mgmt/initiatives/im-faq.html
E-Policy Institute “32 IM Rules to Keep You in Business and Out of Court” www.epolicyinstitute.com/imr/32rules.pdf
Why IM Management? www.epolicyinstitute.com/imr/intro.pdf
Portable Document Format / Archive (PDF/A)
A preservation format for electronic documents
Portable Document Format File format developed by Adobe
Saves text and images
Captures look and feel of documents
Requires special readers to view it
Based on public specifications
The PDF/A Standard ISO 19005-1, Document management—
Electronic document file format for long-term preservation—Part 1: Use of PDF 1.4 (PDF/A-1)
A published digital preservation format
Development began in 2003
Standard released in 2005
PDF’s Advantages Accessible across computing platforms Saves look and feel of original Supports electronic text Allows extraction of text from file Based on standards and universal Provides authenticity controls Can support robust metadata
General Features of PDF/A Standard owned by ISO Specifies limited stable set of features
For any printable digital fileTo ensure long-term validityEliminate features that are not “archival”
An open preservation standard
Required in PDF/A Embedding of all fonts
Unrestricted legal use of embedded
fonts
Device-independent color
Certain metadata describing the fileFile must identify its PDF/A version
Excluded from PDF/A Audio and video JavaScript and other executable files File encryption LZW compression Any reference to outside content Transparency in the file Any embedded files
Best Uses for PDF/A Textual documents
Paper documentsWord-processing and non-PDF/A PDFs
Sets of related digital images Documents where appearance is important Static documents
Less Appropriate for PDF/A Websites
Databases
Spreadsheets
Dynamic documents of any kind
Ways to Create a PDF/A Use a plug-in inside other products Print to PDF Convert documents individually or
use batch processing Convert electronic documents Scan and OCR paper documents
Tools to Create PDF/As Adobe Acrobat 8 Professional
(www.adobe.com) Apago (www.apagoinc.com) Callas (www.callassoftware.com) Compart (www.compart.net) PDFlib (www.pdflib.com) PDF Tools AG (www.pdf-tools.com)
PDF/A-1 Validation Tools Adobe Acrobat Preflight Function
(www.adobe.com) Apago PDF Appraiser
(www.apagoinc.com) Callas Software pdfaPilot
(www.callassoftware.com) PDF Tools AG's 3-Heights PDF
Validator (www.pdf-tools.com/)
PDF/A Alone is Not Preservation Must use PDF/A in conjunction with
Reproducing original accuratelyConducting quality controlRetaining the original electronic documentUsing suitable storage media Storing in appropriate environmentsRefreshing media regularlyBacking up records regularlyHandling records properlyMonitoring other preservation
developments
PDF/A Resources PDF/A
(http://aiim.org/standards.asp?ID=25013) PDF Reference 1.4
(aiim.org/documents/standards/PDFreference.pdf)
Extensible Metadata Protocol(aiim.org/documents/standards/
xmpspecification.pdf) Non-Adobe PDF Resources
(http://www.planetpdf.com/)
Electronic VaultingImproved access and protection for e-records
E-vaulting Electronic transfer of e-records offsite
Use of a commercial vendor or other
storage facility
Secure storage
Retrieval can be 365/24/7
How does e-vaulting work? Contract with a vendor
Vendor installs software
Software backs up data automatically
Backups are incremental
Challenges of E-Vault Development Handle large-volume data movements
Manage simultaneous multi-party processing and digital security
Create storage architecture more efficient than standard data compression
Shortcomings of Normal Backup Fail to fully restore data Slow speed of backup Inability to audit backup Backup data is not immediately offsite Infrequent verification of backup data Lack of data encryption Changing tape formats
Advantage of E-Vaulting Shorter backup times Central control Data is immediately offsite Security 24x7 access to data for recovery Labor productivity System independent format
Comparative Costs
Electronic Content ManagementControlling electronic documents
Electronic Content Management Documents stored in enormous database
Central platform for managing content
Manages records in many formats
Uses common standards and rules
Advantages for Records Managers Control growth of paper records
Ensure regulatory compliance
Provide litigation support
Safeguard vital information
Manage electronic archives
Advantages for Everyone Reduce operating costs Improvements in
Efficiency and productivity Decision makingCustomer service
Foster professional business management
Problems with an ECM Expensive
Strong IT support needed
Significant training required
Large cultural change
Process changes
ECM Does Not
Preserve information
Ensure accuracy of document content
Migrate electronic data
Radio Frequency Identification (RFID)Tracking records with radio signals
How Does RFID Work? RFID system: Tag, Reader, Software Information embedded into tag Data transmitted over different frequencies Variety of systems and components
UHF v HFPassive v ActiveOpen Loop v Close Loop
Applications Asset management: Presence of item Tracking: Location of item Authenticity verification: Source of item Process control Access control: Authenticate person Automated payment: Financial transaction
Records Management Applications Track boxes, folders or documents
Associate documents with folders & boxes
Track active and inactive records
“Upgrades” barcode system
RFID Advantages for Records Management “Contactless” communication
Reduces search time
Streamlines check-out and check-in
Eliminates lost files
Creates instant inventory
RFID Challenges “Noise” Limitations for inactive records centers Current software may not support ot Costs “Big Brother Syndrome”
Implementation Needs assessment & cost benefit analysis
Consider long-term needs
Onsite demo a must
Phased approach is best
Look for scalability
Summary
Emerging technology
Application for RIM already a reality
Perform careful cost-benefit analysis
For More Information 3M
www.3m.com/smartid Infolinx Document Management
www.infolinx.com Thoroughbred Technologies
www.tbredtech.com Checkpoint Systems
www.checkpointsystems.com/rfid
Wikis and Blogs
A new web-based records challenge
Weblogs Definition
Websites with periodic postings on a single subject
Usually in reverse chronological orderOriginally, served only as online diaries
Features of a blogTitleBodyComments
Government Blogs Promote government services Promote tourism Provide a forum for citizen comment Example
NYC Department of Parks and Recreationhttp://www.nycgovparks.org/sub_about/
parks_divisions/urban_park_rangers/eaglecam/blog
Wikis Definition
Website designed collaboratively onlineUsually focused on a particular content
areaIncludes online tools for easy editing of
contentWikipedia, a famous example
Features of a wikiVersions of postings saved in logsRecord of who did change is saved Allows for geographically dispersed
collaboration
Government Wikis Venue for collaborative writing Means for collaborating on projects Means for community involvement Example
National Alliance for Medical Image Computing
http://wiki.na-mic.org/Wiki/index.php/ Main_Page
Blogs, Wikis, and RM RM is same as for standard webpages Some questions exist
Do you need policies to govern the development of these records?
If these are frequently changed, will this affect how you manage these?
How will you control the accuracy of information in these?
How do you encourage and control outside interactions on these sites?
Welcome to the New WorldRecords management in the twenty-first century