New Horizons in Records Management Geof Huth and

New Horizons in Records Management Geof Huth and David Lowry New York State Archives www. archives. nysed. gov New York Association of Local Government Records Officers Hunter, New York 12 June 2007

E-Mail The continuing challenge

Issues n Few records management controls n Volume vs value n Individuals manage corporate resources n Difficult to destroy and preserve n Records lost n Inaccessibility of email records n Legal liabilities n Costs of all of the above

What We Must Do with E-mail n Classify n File n Store n Retrieve n Read n Distribute n Destroy n Protect n Preserve

Developing Solutions n Understand your needs ¨ Classification systems ¨ Retention controls ¨ Semi-automated destruction ¨ Complex retrieval n Understand your culture ¨ Likelihood of compliance ¨ Identify current standard practices ¨ Need for training n Understand limitations

Develop an Integrated Solution n Integrate software products n Guide your program via policy n Set standards for e-mail management n Train your staff n Monitor compliance n Monitor developments n Merge IT and RM

Software Solutions n ECM ¨ Open. Text www. opentext. com ¨ Stellent www. stellent. com ¨ Tower Software www. towersoft. com n E-mail management ¨ KANA Software www. kana. com ¨ Zantaz www. zantaz. com n Full-Text Search ¨ ISYS www. isys-search. com ¨ X 1 Technologies www. x 1. com ¨ Zy. LAB www. zylab. com

Instant Messaging Another communications challenge for records management

Instant Messaging n E-communication in real time n Need similar software to communicate n Exchange different types of files ¨ Images ¨ Audio ¨ Text

Good RM Practices for IM n Files can be saved in ECMs n Use same retention as email n Transfer info quickly from remote locations n People are used to using it

RM Drawbacks to IM n IMs rarely recognized as records n Transient nature of IM n Possible security risks n Dependence on proprietary software

IM and Traditional RM n Develop written policies and procedures n Set up systems to automatically save IMs n Control use of instant messaging

Resources n The National Archives’ FAQs on IM ¨ www. archives. gov/records-mgmt/initiatives/im- faq. html n E-Policy Institute “ 32 IM Rules to Keep You in Business and Out of Court” ¨ www. epolicyinstitute. com/imr/32 rules. pdf n Why IM Management? ¨ www. epolicyinstitute. com/imr/intro. pdf

Portable Document Format / Archive (PDF/A) A preservation format for electronic documents

Portable Document Format n File format developed by Adobe n Saves text and images n Captures look and feel of documents n Requires special readers to view it n Based on public specifications

The PDF/A Standard n ISO 19005 -1, Document management— Electronic document file format for longterm preservation—Part 1: Use of PDF 1. 4 (PDF/A-1) n A published digital preservation format n Development began in 2003 n Standard released in 2005

PDF’s Advantages n Accessible across computing platforms n Saves look and feel of original n Supports electronic text n Allows extraction of text from file n Based on standards and universal n Provides authenticity controls n Can support robust metadata

General Features of PDF/A n Standard owned by ISO n Specifies limited stable set of features ¨ For any printable digital file ¨ To ensure long-term validity ¨ Eliminate n features that are not “archival” An open preservation standard

Required in PDF/A n Embedding of all fonts n Unrestricted legal use of embedded fonts n Device-independent color n Certain metadata describing the file ¨ File must identify its PDF/A version

Excluded from PDF/A n Audio and video n Java. Script and other executable files n File encryption n LZW compression n Any reference to outside content n Transparency in the file n Any embedded files

Best Uses for PDF/A n Textual documents ¨ Paper documents ¨ Word-processing and non-PDF/A PDFs n Sets of related digital images n Documents where appearance is important n Static documents

Less Appropriate for PDF/A n Websites n Databases n Spreadsheets n Dynamic documents of any kind

Ways to Create a PDF/A n Use a plug-in inside other products n Print to PDF n Convert documents individually or use batch processing n Convert electronic documents n Scan and OCR paper documents

Tools to Create PDF/As n Adobe Acrobat 8 Professional (www. adobe. com) n Apago (www. apagoinc. com) n Callas (www. callassoftware. com) n Compart (www. compart. net) n PDFlib (www. pdflib. com) n PDF Tools AG (www. pdf-tools. com)

PDF/A-1 Validation Tools n Adobe Acrobat Preflight Function (www. adobe. com) n Apago PDF Appraiser (www. apagoinc. com) n Callas Software pdfa. Pilot (www. callassoftware. com) n PDF Tools AG's 3 -Heights PDF Validator (www. pdf-tools. com/)

PDF/A Alone is Not Preservation n Must use PDF/A in conjunction with ¨ Reproducing original accurately ¨ Conducting quality control ¨ Retaining the original electronic document ¨ Using suitable storage media ¨ Storing in appropriate environments ¨ Refreshing media regularly ¨ Backing up records regularly ¨ Handling records properly ¨ Monitoring other preservation developments

PDF/A Resources n n PDF/A (http: //aiim. org/standards. asp? ID=25013) PDF Reference 1. 4 (aiim. org/documents/standards/PDFreferenc e. pdf) Extensible Metadata Protocol (aiim. org/documents/standards/xmpspecifica tion. pdf) Non-Adobe PDF Resources (http: //www. planetpdf. com/)

Electronic Vaulting Improved access and protection for e-records

E-vaulting n Electronic transfer of e-records offsite n Use of a commercial vendor or other storage facility n Secure storage n Retrieval can be 365/24/7

How does e-vaulting work? n Contract with a vendor n Vendor installs software n Software backs up data automatically ¨ Backups are incremental

Challenges of E-Vault Development n Handle large-volume data movements n Manage simultaneous multi-party processing and digital security n Create storage architecture more efficient than standard data compression

Shortcomings of Normal Backup n Fail to fully restore data n Slow speed of backup n Inability to audit backup n Backup data is not immediately offsite n Infrequent verification of backup data n Lack of data encryption n Changing tape formats

Advantage of E-Vaulting n Shorter backup times n Central control n Data is immediately offsite n Security n 24 x 7 access to data for recovery n Labor productivity n System independent format

Comparative Costs

Electronic Content Management Controlling electronic documents

Electronic Content Management n Documents stored in enormous database n Central platform for managing content n Manages records in many formats n Uses common standards and rules

Advantages for Records Managers n Control growth of paper records n Ensure regulatory compliance n Provide litigation support n Safeguard vital information n Manage electronic archives

Advantages for Everyone n Reduce operating costs n Improvements in ¨ Efficiency ¨ Decision making ¨ Customer n and productivity service Foster professional business management

Problems with an ECM n Expensive n Strong IT support needed n Significant training required n Large cultural change n Process changes

ECM Does Not n Preserve information n Ensure accuracy of document content n Migrate electronic data

Radio Frequency Identification (RFID) Tracking records with radio signals

How Does RFID Work? n RFID system: Tag, Reader, Software n Information embedded into tag n Data transmitted over different frequencies n Variety of systems and components ¨ UHF v HF ¨ Passive ¨ Open v Active Loop v Close Loop

Applications n Asset management: Presence of item n Tracking: Location of item n Authenticity verification: Source of item n Process control n Access control: Authenticate person n Automated payment: Financial transaction

Records Management Applications n Track boxes, folders or documents n Associate documents with folders & boxes n Track active and inactive records n “Upgrades” barcode system

RFID Advantages for Records Management n “Contactless” communication n Reduces search time n Streamlines check-out and check-in n Eliminates lost files n Creates instant inventory

RFID Challenges n “Noise” n Limitations for inactive records centers n Current software may not support ot n Costs n “Big Brother Syndrome”

Implementation n Needs assessment & cost benefit analysis n Consider long-term needs n Onsite demo a must n Phased approach is best n Look for scalability

Summary n Emerging technology n Application for RIM already a reality n Perform careful cost-benefit analysis

For More Information n 3 M ¨ www. 3 m. com/smartid n Infolinx Document Management ¨ www. infolinx. com n Thoroughbred Technologies ¨ www. tbredtech. com n Checkpoint Systems ¨ www. checkpointsystems. com/rfid

Wikis and Blogs A new web-based records challenge

Weblogs n Definition ¨ Websites with periodic postings on a single subject ¨ Usually in reverse chronological order ¨ Originally, served only as online diaries n Features of a blog ¨ Title ¨ Body ¨ Comments

Government Blogs n Promote government services n Promote tourism n Provide a forum for citizen comment n Example ¨ NYC Department of Parks and Recreation ¨ http: //www. nycgovparks. org/sub_about/parks _divisions/urban_park_rangers/eaglecam/blog

Wikis n Definition ¨ Website designed collaboratively online ¨ Usually focused on a particular content area ¨ Includes online tools for easy editing of content ¨ Wikipedia, a famous example n Features of a wiki ¨ Versions of postings saved in logs ¨ Record of who did change is saved ¨ Allows for geographically dispersed collaboration

Government Wikis n Venue for collaborative writing n Means for collaborating on projects n Means for community involvement n 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 n Some questions exist n ¨ 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