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New Horizons in Records Management

New Horizons in Records Management. New York Association of Local Government Records Officers Hunter, New York 12 June 2007. Geof Huth and David Lowry New York State Archives www.archives.nysed.gov. E-Mail. The continuing challenge. Issues . Few records management controls

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New Horizons in Records Management

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

  2. E-Mail The continuing challenge

  3. 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

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

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

  6. 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

  7. Software Solutions • ECM • OpenText www.opentext.com • Stellent www.stellent.com • Tower Software www.towersoft.com • E-mail management • KANA Software www.kana.com • Zantaz www.zantaz.com • Full-Text Search • ISYS www.isys-search.com • X1 Technologies www.x1.com • ZyLAB www.zylab.com

  8. Instant Messaging Another communications challenge for records management

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

  10. 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

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

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

  13. 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

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

  15. 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

  16. 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

  17. 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

  18. 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

  19. 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

  20. 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

  21. 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

  22. Less Appropriate for PDF/A • Websites • Databases • Spreadsheets • Dynamic documents of any kind

  23. 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

  24. 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)

  25. 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/)

  26. PDF/A Alone is Not Preservation • 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

  27. 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/)

  28. Electronic Vaulting Improved access and protection for e-records

  29. 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

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

  31. 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

  32. 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

  33. 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

  34. Comparative Costs

  35. Electronic Content Management Controlling electronic documents

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

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

  38. Advantages for Everyone • Reduce operating costs • Improvements in • Efficiency and productivity • Decision making • Customer service • Foster professional business management

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

  40. ECM Does Not • Preserve information • Ensure accuracy of document content • Migrate electronic data

  41. Radio Frequency Identification (RFID) Tracking records with radio signals

  42. 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

  43. 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

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

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

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

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

  48. Summary • Emerging technology • Application for RIM already a reality • Perform careful cost-benefit analysis

  49. 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

  50. Wikis and Blogs A new web-based records challenge

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