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

E-Mail

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