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					Electronic Records Management:
   A Lesson in Collaboration

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



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                 Agenda

• Who We Are
• Where We’ve Been
• Where We Are Now
• Where We’re Going
• What We’ve
  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
                                 KDLA Organizational
                     Organizational Structure

                                                          Structure
                                                           State Librarian




Administrative Services             State Library                 Public Records        Field Services
       Division                    Services Division                 Division              Division




               Archival Services          Micrographics            State Records   Local Records         Technology Analysis
                    Branch                   Branch                   Branch          Branch              & Support Branch




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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 We’ve Been . . .
     A Short History of KDLA’s
Involvement with Electronic Records
             Where We’ve Been . . .
1970


    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
1990


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             Where We’ve Been . . .
1980

    1990’s - Kentucky Information Resource
      Management (KIRM) Commission
    1996 – EMPOWER Kentucky
    1997 – State CIO & Enterprise
      Architecture Standards
    2000 – Hunter Information Management
      hired
2005


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               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


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Where We Are Now . . .
      Current status of the
  Electronic Records Program
                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 We’re Going . . .
        Future Plans
             for
     Electronic Records
               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)

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               Where We’re Going . . .
                Electronic Records Training

• Online Training
  – Online Presentations
  – Downloadable “Canned” Presentations
  – Online Tutorials
  – Web & Tele-conferences




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               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




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               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



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               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




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               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


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               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?


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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.              Enter the KGSGeoPortal
                                  Gateway to Online Maps, Databases, and
• See if we can fit into the            Publications for Kentucky

  PAT Project

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               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)

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What We’ve Learned

     Advantages,
    Disadvantages
          &
   Lessons Learned
                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 other’s 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@ky.gov

                        Phone:
Keziah Lily Myers       (502)564-8300 Ext. 244



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