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

2. 03-01-2005ECURE 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

3. 03-01-2005ECURE 2005 3 Agenda Who We Are Where We’ve Been Where We Are Now Where We’re Going What We’ve Learned Questions

4. 03-01-2005ECURE 2005 4 Who We Are

5. 03-01-2005ECURE 2005 5 Who We Are Kentucky Department for Libraries and Archives State Library State Archives State Records Management Authority

6. 03-01-2005ECURE 2005 6 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

7. 03-01-2005ECURE 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?

8. 03-01-2005ECURE 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

9. 03-01-2005ECURE 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

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

11. 03-01-2005ECURE 2005 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

12. 03-01-2005ECURE 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 2005 1980

13. 03-01-2005ECURE 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

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

15. 03-01-2005ECURE 2005 15 Where We Are Now... The State Archives Center is almost full! Looking for more ways to utilize the electronic form.

16. 03-01-2005ECURE 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

17. 03-01-2005ECURE 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

18. 03-01-2005ECURE 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.

19. 03-01-2005ECURE 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

20. 03-01-2005ECURE 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

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

22. 03-01-2005ECURE 2005 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)

23. 03-01-2005ECURE 2005 23 Where We’re Going... Electronic Records Training Online Training –Online Presentations –Downloadable “Canned” Presentations –Online Tutorials –Web & Tele-conferences

24. 03-01-2005ECURE 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

25. 03-01-2005ECURE 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

26. 03-01-2005ECURE 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

27. 03-01-2005ECURE 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

28. 03-01-2005ECURE 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?

29. 03-01-2005ECURE 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

30. 03-01-2005ECURE 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_geosp atial_data_records.html)

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

32. 03-01-2005ECURE 2005 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)

33. 03-01-2005ECURE 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)

34. 03-01-2005ECURE 2005 34 Potential Problems Current Administration & ERWG –Reorganization of state government –COT in turmoil Funding/Budgets –Depressed economy –No state budget Current Staffing levels

35. 03-01-2005ECURE 2005 35 Lessons Learned Collaboration is Key –State IT Dept. –Other State/Local Organizations –Other States Exploit Funding Sources –Grants –Capital Planning Projects

36. 03-01-2005ECURE 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!

37. 03-01-2005ECURE 2005 37 Questions?

38. 03-01-2005ECURE 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