Electronic Records Management: A Lesson in Collaboration

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Electronic Records Management A Lesson in
Collaboration

• ECURE 2005
• Arizona State University
• Tempe, AZ
• Feb. 28-March 2, 2005

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• Mark J. Myers
• Electronic Records Manager
• Public Records Division,
• Kentucky Department of Libraries and Archives
• E-mail mark.myers_at_ky.gov
• Phone [phone] Ext. 244

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Agenda

• Who We Are
• Where Weve Been
• Where We Are Now
• Where Were Going
• What Weve Learned
• Questions

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Who We Are
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Who We Are

• Kentucky Department for Libraries and Archives
• State Library
• State Archives
• State Records Management Authority

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Who We Are
KDLA Organizational Structure
KDLA Organizational Structure
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Who We Are
What is a Public Record?

• 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.

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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

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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

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Where Weve Been . . .

• A Short History of KDLAs
• Involvement with Electronic Records

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Where Weve Been . . .
1970

• Late 1970s PRD begins scheduling machine
  readable records (MRR)
• 1983 MRR Taskforce
• 1984 - Kentucky Information Systems Commission
  (KISC)
• 1985 NHPRC Machine Readable Records Grant

1990
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Where Weve Been . . .

• 1990s - Kentucky Information Resource Management
  (KIRM) Commission
• 1996 EMPOWER Kentucky
• 1997 State CIO Enterprise Architecture
  Standards
• 2000 Hunter Information Management hired

1980
2005
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Where Weve Been . . .

• Consultants 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

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Where We Are Now . . .

• Current status of the
• Electronic Records Program

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Where We Are Now . . .

• The State Archives Center is almost full!
• Looking for more ways to utilize the electronic
  form.

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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

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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

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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.

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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

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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

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Where Were Going . . .

• Future Plans
• for
• Electronic Records

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Where Were 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)

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Where Were Going . . .

• Electronic Records Training
• Online Training
• Online Presentations
• Downloadable Canned Presentations
• Online Tutorials
• Web Tele-conferences

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Where Were Going . . .

• Persistent Archives Test-bed Project
• NHPRC grant involving San Diego Supercomputer
  Center and four other institutions
• Testing SDSCs data grid technology
• KDLAs contribution Web files
• Gov. Office website records over 8 yrs.
• KDLAs own website at various times

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Where Were 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

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Where Were 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

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Where Were 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

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Where Were Going . . .

• What layers need to be retained?
• Update Schedule
• How often?
• Whats changed?
• Who controls the data?
• How to provide access?

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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
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Where Were 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/initia
  tives/digital_geospatial_data_records.html)

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What Weve Learned

• Advantages,
• Disadvantages Lessons Learned

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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)

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Disadvantages

• The Red Tape got redder
• Inherited each others problems
• Animosity toward central control of IT
• Lost in the sea of issues
• Too focused on State issues (over local
  governments)

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Potential Problems

• Current Administration ERWG
• Reorganization of state government
• COT in turmoil
• Funding/Budgets
• Depressed economy
• No state budget
• Current Staffing levels

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Lessons Learned

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

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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!

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• Questions?

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Thank You!

• KDLA web site
• http//www.kdla.ky.gov
• E-mail
• mark.myers_at_ky.gov
• Phone
• [phone] Ext. 244

Keziah Lily Myers