Electronic Records The Next Step
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Transcript of Electronic Records The Next Step
+ Electronic RecordsThe Next Step
+ 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.
+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
+Agenda
Appraisal
Ingest
Processing and Preservation
Maintenance
Access
Planning
+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
+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
+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
+Long-term Considerations
Intelligibility
Functionality
Security
Organizational capacity
+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
+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
+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
+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
+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
+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
+
Q & A
???
+ A Few Preservation Formats
Textual documents PDF/A, XML, ASCII
Images TIFF, JPEG 2000
Audio WAV, Broadcast Wave (BWF)
Video Motion JPEG 2000
+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
+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
+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)
+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
+Possible Repository Platforms
Dspace
Fedora
ContentDM
OMEKA
Server under your control
+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
+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
+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)
+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
+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
+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
+
Q & A
???
+Geof [email protected]
Thank You
If we did not get to your question, or if you think of a question after the seminar, please submit to [email protected] no later than February 1, and we’ll disseminate questions and answers to everyone within two weeks.