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

ECURE Mark J. Myers Electronic Records Manager Public Records Division, Kentucky Department of Libraries and Archives Phone: (502) Ext. 244

ECURE Agenda Who We Are Where We’ve Been Where We Are Now Where We’re Going What We’ve Learned Questions

ECURE Who We Are

ECURE Who We Are Kentucky Department for Libraries and Archives State Library State Archives State Records Management Authority

ECURE Who We Are State Librarian Administrative Services Division State Library Services Division Public Records Division Archival Services Branch Micrographics Branch State Records Branch Local Records Branch Technology Analysis & Support Branch Field Services Division KDLA Organizational Structure

ECURE Who We Are KRS 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 Who We Are Open Records Act KRS –All public records are open to the public unless exempted by section –Requestors can request records in electronic format –Allows for agencies to provide access to records online

ECURE Who We Are Uniform Electronic Transaction Act (UETA) KRS –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

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

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

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

ECURE 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

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

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

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

ECURE 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

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

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

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

ECURE 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 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 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 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 ( –NARA – Transfer guidance ( atial_data_records.html)

What We’ve Learned Advantages, Disadvantages & Lessons Learned

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

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

ECURE 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 Questions?

ECURE Thank You! KDLA web site: Phone: (502) Ext. 244 Keziah Lily Myers