Electronic Records Management: A Lesson in Collaboration

1. Electronic Records Management: A Lesson in Collaboration ECURE 2005 Arizona State University Tempe, AZ Feb. 28-March 2, 2005

2. Mark J. Myers Electronic Records Manager Public Records Division, Kentucky Department of Libraries and Archives E-mail: mark.myers@ky.gov Phone: (502)564-8300 Ext. 244 ECURE 2005

3. Agenda • Who We Are • Where We’ve Been • Where We Are Now • Where We’re Going • What We’ve Learned • Questions ECURE 2005

4. Who We Are ECURE 2005

5. Who We Are Kentucky Department for Libraries and Archives • State Library • State Archives • State Records Management Authority ECURE 2005

6. Who We Are KDLA Organizational Structure KDLA Organizational Structure ECURE 2005

7. Who We Are KRS 171.410 defines a public record as: “all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings and other documentary materials, regardless of physical form or characteristics, which are prepared, owned, used, in the possession of or retained by a public agency.” What is a Public Record? ECURE 2005

8. Who We Are Open Records Act KRS 61.870-884 • All public records are open to the public unless exempted by section 61.878 • Requestors can request records in electronic format • Allows for agencies to provide access to records online ECURE 2005

9. Who We Are Uniform Electronic Transaction Act (UETA) KRS 369.101-369.120 • Passed in 2000 • Has been passed by about 48 states • Follows the federal E-Sign Act • Validates the use of electronic records, and electronic signatures ECURE 2005

10. Where We’ve Been . . . A Short History of KDLA’s Involvement with Electronic Records

11. Where We’ve Been . . . Late 1970’s – PRD begins scheduling machine readable records (MRR) 1983 – MRR Taskforce 1984 - Kentucky Information Systems Commission (KISC) 1985 – NHPRC Machine Readable Records Grant 1970 1990 ECURE 2005

12. Where We’ve Been . . . 1990’s - Kentucky Information Resource Management (KIRM) Commission 1996 – EMPOWER Kentucky 1997 – State CIO & Enterprise Architecture Standards 2000 – Hunter Information Management hired 1980 2005 ECURE 2005

13. Where We’ve Been . . . Consultant’s Recommendations • Form Electronic Records Advisory Committee • Policy Development for electronic records • Training for both KDLA staff and government officials • Appraisal strategy for electronic records • Metadata standards • Data Repository ECURE 2005

14. Where We Are Now . . . Current status of the Electronic Records Program

15. Where We Are Now . . . The State Archives Center is almost full! Looking for more ways to utilize the electronic form. ECURE 2005

16. Where We are Now . . . Document Management Digitization System (DMDS) • LSTA grant funded • Offers 3 options for conversion: • Paper to Digital Image • Digital Image to Microfilm • Microfilm to Digital Image ECURE 2005

17. Where We Are Now . . . DMDS (continued) • Includes: • High-speed scanners • Large format (map) scanners • Kodak Archive Writer (digital to microfilm) • Microfilm scanners • Forms the foundation of Data Archive for permanent electronic records ECURE 2005

18. Where We Are Now . . . Electronic Records Working Group(ERWG) • Formed 2002 • Representatives from KDLA, COT, and the Offices of the Attorney General and Auditor of Public Accounts • Develops suggested policies, guidelines, and recommendations for addressing electronic records issues. ECURE 2005

19. Where We Are Now . . . Products of ERWG Activity • General Schedule for Electronic & Related Records • Guidelines for Managing Email in Kentucky Government • Enterprise Standard for Recordkeeping • Guidelines for Managing Public Records in a Database • Guidelines for Managing Web-Based Records ECURE 2005

20. Where We Are Now . . . Electronic Records Training Presentations • Local Government • KY Association of Counties • Public School Districts • League of Cities • Kentucky County Clerks Association • State Agencies ECURE 2005

21. Where We’re Going . . . Future Plans for Electronic Records

22. Where We’re Going . . . Electronic Records Working Group • Expanding Membership: • GIS community • Universities • Local Governments • Projects on the Horizon • Destruction Guidelines • Enterprise Standard for PDF/A • Evaluation of ERKS(Electronic Recordkeeping Systems) ECURE 2005

23. Where We’re Going . . . Electronic Records Training • Online Training • Online Presentations • Downloadable “Canned” Presentations • Online Tutorials • Web & Tele-conferences ECURE 2005

24. Where We’re Going . . . Persistent Archives Test-bed Project • NHPRC grant involving San Diego Supercomputer Center and four other institutions • Testing SDSC’s data grid technology • KDLA’s contribution: Web files • Gov. Office website records over 8 yrs. • KDLA’s own website at various times ECURE 2005

25. Where We’re Going . . . Electronic Records Archive • Long-term storage & public access to archival electronic records • Currently capturing: • Web files – Gov. Office, KDLA • State Publications (PDF) • Minutes and Annual Reports ECURE 2005

26. Where We’re Going . . . Electronic Recordkeeping System • Evaluation of 2-3 DoD 5015.2 approved systems • Exploring the possibility of a shared service Digital Records Center • Recommended products for agencies to use ECURE 2005

27. Where We’re Going . . . Geographic Information System (GIS) Records • State Division of Geographic Information (DGI) • Manages the “Commonwealth Map” • Coordinates GIS activity in the State • KY Geologic Survey (KGS) • Manages the KY GeoPortal • State's official archive for data on petroleum, coal, minerals, ground water, and topographic and geologic maps ECURE 2005

28. Where We’re Going . . . • What layers need to be retained? • Update Schedule • How often? • What’s changed? • Who controls the data? • How to provide access? ECURE 2005

29. GIS Records • Publications vs Records • Save the database with all functionality, or Save individual documents • Again – problems with how to provide access. • See if we can fit into the PAT Project Enter the KGSGeoPortal Gateway to Online Maps, Databases, and Publications for Kentucky ECURE 2005

30. Where We’re Going . . . GIS Records - Solutions • Continued Collaboration • Invited DGI to join ERWG • Joined the Data Stewards Group • Looking for Resources • Maine State Archives - GeoArchives (http://www.maine.gov/geoarch/index.htm) • NARA – Transfer guidance (http://www.archives.gov/records_management/initiatives/digital_geospatial_data_records.html) ECURE 2005

31. What We’ve Learned Advantages, Disadvantages & Lessons Learned

32. Advantages • Increased Visibility • Increased access to resources • “Talking the Talk” • Better understanding of issues • Determining the “Business Need” • Records as an Asset • Legal Issues • Greater compliance (hopefully) ECURE 2005

33. Disadvantages • The “Red Tape” got redder • Inherited each other’s problems • Animosity toward central control of IT • Lost in the sea of issues • Too focused on State issues (over local governments) ECURE 2005

34. Potential Problems • Current Administration & ERWG • Reorganization of state government • COT in turmoil • Funding/Budgets • Depressed economy • No state budget • Current Staffing levels ECURE 2005

35. Lessons Learned • Collaboration is Key • State IT Dept. • Other State/Local Organizations • Other States • Exploit Funding Sources • Grants • Capital Planning Projects ECURE 2005

36. Best Advice “Just Do It!” • Figure out what you can do and work on it. • Exploit your strengths • Partner with somebody • Collaborative projects • Join groups or committees Develop/Exploit expertise wherever you can! ECURE 2005

37. Questions? ECURE 2005

38. Thank You! KDLA web site: http://www.kdla.ky.gov E-mail: mark.myers@ky.gov Phone: (502)564-8300 Ext. 244 Keziah Lily Myers ECURE 2005