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
Images
Audio
Text
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 file
To ensure long-term validity
Eliminate 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 file
File 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 documents
Word-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 Vaulting
Improved 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 making
Customer 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 HF
Passive v Active
Open 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 Managementwww.infolinx.com
Thoroughbred Technologieswww.tbredtech.com
Checkpoint Systemswww.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
ExampleNYC Department of Parks and Recreation
http://www.nycgovparks.org/sub_about/
parks_divisions/urban_park_rangers/
eaglecam/blog
Wikis Definition
Website designed collaboratively onlineUsually focused on a particular content
area Includes 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 World
Records management in the twenty-first century