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Electronic Records The Next Step

Electronic Records The Next Step. Today’s Presenter:.

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Electronic Records The Next Step

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  1. Electronic RecordsThe NextStep

  2. Today’s Presenter: • Geof Huth is Director of Government Records Services at the New York State Archives, where he oversees all archives and records management services to local governments and state agencies across the state. He also continues to serve as Manager of Records Advisory Services, overseeing a regionally-based program of archives and records management advisory services to local governments and state agencies in New York State. • Previously, he managed Records Service Development, overseeing retention scheduling and the development of records management workshops, publications and web-based resources for state and local government. A major focus was the development of new services in electronic records management, including preserving electronic records, identifying records in geographic information systems, and managing e-mail. • From 1993 until 1999, he served as the Archives’ Regional Advisory Officer for Region 4, North Country, which covered eleven counties in the northeastern part of New York State and included approximately 600 local governments and state agency offices. In his capacity as Regional Advisory Officer to this region, Huth provided advice to local governments and state agencies in archives, records management, and grants writing. • Previously, Huth worked as a Specialist in the Archives’ Grants Administration Unit, as Records Management Coordinator for the Albany-Schoharie-Schenectady BOCES (where he provided archives and records management services to school districts), and as field archivist for the Capital District Labor History Project. • Huth has been active in many professional archival and records management organizations, including as president of both the Albany Chapter of ARMA and Capital Area Archivists of New York, chair of upstate New York’s Lake Ontario Archives Conference, and New York State Caucus chair for the Mid-Atlantic Regional Archives Conference (MARAC). He currently serves as the Chair of the Mid-Atlantic Regional Archives Conference and as Chair of the Society of American Archivists’ Government Records Section.

  3. One Rule • You can’t do everything • So… • Focus on what is most important • Focus on what you can accomplish • Focus on achievements, no matter how small

  4. Agenda • Appraisal • Ingest • Processing and Preservation • Maintenance • Access • Planning

  5. Appraisal of Electronic Records • Appraise early • At point of creation, if possible • Appraise ruthlessly • Appraise aspects of records • Value of the data • Technical characteristics • Adequacy of metadata

  6. Technical Appraisal I • Technical Characteristics • Hardware • Operating system • Software or programming language • Proprietary or open • File formats • File compression and encryption • Responsibility for technical support • Quantity • Size in megabytes • Number of files in system • Growth rate

  7. Technical Appraisal II • Retrieval and Use • Types of records in system • File structure • Existing metadata • Additional system information • Relationship to non-electronic records • Data Validity • Data accuracy and completeness • System security, auditing and verification • Media • External media • Frequency of backups

  8. Long-term Considerations Intelligibility Functionality Security Organizational capacity

  9. General E-Records Activities • Ingest: Bring records into system • Preserve: Ensuring usability of records long-term • Maintain: Continue to manage the system • Access: Develop systems for use of records

  10. Ingest Require certain standards for accessions Authorization and evidence of transfer Acceptable file formats (uncompressed) Acceptable media formats Acceptable methods (via prescribed media or FTP) Creator must Provide adequate metadata for the records Segregate files in one series into one accession Maintain a second copy until file is verified Store within secured repository

  11. Accessioning Steps • On a quarantined computer: • Verify records are what they purport to be • Run virus-detection software • Run checksum error detection • Create accessioning records

  12. Processing • On a networked computer: • After testing move to production environment • Convert files to persistent formats if necessary • Save original bit stream and preservation copy • Store backup copies offsite

  13. Preserve • Develop strategies for the records you have • Document processes to ensure consistency • Plan for inevitable change • Preservation options • Migration • Normalization • Emulation • Output to hardcopy (paper or microfilm) • Preservation of system • Maintaining hardware, software, removable media

  14. Thinking about Preservation • Migration • Use if trapped in a software system • Normalization • Your most likely solution • Emulation • Not practical except in limited instances • Hardcopy • Use paper when dealing with few records • Use microfilm when access will be limited

  15. Q & A ???

  16. A Few Preservation Formats • Textual documents • PDF/A, XML, ASCII • Images • TIFF, JPEG 2000 • Audio • WAV, Broadcast Wave (BWF) • Video • Motion JPEG 2000

  17. Maintain • Quality control and authenticity • Metadata maintenance • Verify adherence to procedures • Document and audit the system • Roles • Define roles for staff • Ensure staff follow their procedures • Technical support • Develop and ensure IT support • Define this support through agreements

  18. Metadata Rules of Engagement Set up your systems before implementing Metadata to collect and create Standards to follow Standard vocabularies to use Level of detail for individual objects vs. series Develop metadata to support your needs Develop metadata to support interoperability Develop metadata to support preservation Preserve metadata as you preserve records

  19. Metadata Types • Administrative (allows you to understand records) • Collection information • Provenance and rights • Technical and preservation metadata • Descriptive (allows users to find records) • Used to identify sources of information • Structural (allows you to see how files fit together) • Describes structure of digital files • (Simple unidimensional files vs. complex objects)

  20. Access • Define and monitor access controls • Access for system administrator • Access for archives staff • Access for IT staff • Access for users • Provide user access • Define whether at request or online • Define formats and media you can provide • Provide onsite equipment for access • Ensure trained staff to provide access

  21. Possible Repository Platforms • Dspace • Fedora • ContentDM • OMEKA • Server under your control

  22. Choosing Repository Systems Create a group to investigate possibilities Archivists, IT professionals, managers, even users Develop a list of your needs Compare your needs to product specifications Identify a set of products to investigate in detail Interview users and vendors of software products Test run a demo if possible Choose based on needs, costs, & technical capacity

  23. Before You Plan, Learn • Inventory • For an institutional archives, inventory your records • For a manuscript repository, consider your donors • Identify common file formats, quantity, etc. • Analyze • Assess the size of the issue (quantity and complexity) • Determine your technological needs • Estimate your space and fiscal needs • Decide who in your organization can help you • Design a sustainable program

  24. Technical Areas to Investigate Open Archival Information System (OAIS) Repository Options Preservation Options and Processes Trusted Digital Repository (TDR) Metadata Production and Control Preservation Metadata Implementation Strategy (PREMIS)

  25. Issues with Digital Archives Even more focused on standards Increases technical complexity Increases our desire for perfection Saving everything Producing extensive metadata Creating in multiple formats to increase access Too large to learn all at once

  26. Addressing Digital Archives Work well with others Avoid the pitfalls of perfection Reduce complexity Think things through before you implement Focus on most important archival assets Develop uniform processes Reduce redunancy Deal with bulk, not items Learn by doing

  27. What Now? Learn More Attend more specific workshops Read the technical literature Process Information Revise standards to your reality Determine limitations Learn how to exceed limitations Do Anything Now

  28. Q & A ???

  29. Thank You Geof Huthgeofhuth@gmail.com If we did not get to your question, or if you think of a question after the seminar, please submit to education@archivists.org no later than February 1, and we’ll disseminate questions and answers to everyone within two weeks.

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