+ 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 Huthgeofhuth@gmail.com

Thank You

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.