Lifecycle Management of Electronic Records: Georgia as a Case Study

1. Lifecycle Management of Electronic Records: Georgia as a Case Study Document Management and Automation For the Government Enterprise September 28, 2005

2. Lifecycle Management of Electronic Records: Georgia as a Case Study A story of two agencies -- Georgia Office of Secretary of State Mandate for archives and records management Georgia Technology Authority Mandate for management of technology resources Today, I want to provide you with a brief overview of the state of Georgia is tackling the challenge of managing its electronic information assets. Like most states, within Georgia the responsibility for archives and records management is centralized in one agency � in our case, the Office of Secretary of State. Management of the state�s technology resources resides with the Georgia Technology Authority. Mandated responsibilities of each agency overlap in the areas of standards and guidance in data management. Our two agencies have built a partnership over the last three years to coordinate the lifecycle management of the state�s electronic records.Today, I want to provide you with a brief overview of the state of Georgia is tackling the challenge of managing its electronic information assets. Like most states, within Georgia the responsibility for archives and records management is centralized in one agency � in our case, the Office of Secretary of State. Management of the state�s technology resources resides with the Georgia Technology Authority. Mandated responsibilities of each agency overlap in the areas of standards and guidance in data management. Our two agencies have built a partnership over the last three years to coordinate the lifecycle management of the state�s electronic records.

3. Lifecycle Management of Electronic Records: Georgia as a Case Study Partnership Goals Building partnerships and understanding to remove silos of responsibility for records management Ensuring organizational information compliance Creating a technology and policy/standards structure to encourage information management The goals of this partnership are threefold -- The goals of this partnership are threefold --

4. Lifecycle Management of Electronic Records: Georgia as a Case Study Collaborations: Privacy and Access in Georgia E-Government Demonstration Project Whitepaper Recommendations Preserving Georgia�s Historical Data Standards and Guidelines Architecture and Business Case Briefly, I want to describe the results of two joint projects funded by the National Historical Publications and Records Commission (NHPRC). The first project, Privacy and Access in Georgia E-Government, was an educational to begin to raise awareness and find solutions to the challenges presented by confidential information � in particular, personally identifiable information. The project sponsored a week long conference during which speakers gave presentations followed by several hours of audience discussion resulting in recommendations for action. A whitepaper outlining an agenda for action in the area of information management was prepared and distributed at the end of the grant. A demonstration project (refer to case study) tested the viability of using XML schemas to protect confidential information. The second project is currently underway. Preserving Georgia�s Historical Data provides the Georgia Archives with funding to develop and test procedures for the transfer of historical data. Working with GTA, we are identifying needed technology standards that will ensure the creation and maintenance of reliable records that can more easily be preserved by the Archives. In addition, GTA is assisting in the development of a proposed architecture and business case for the construction of the state�s Digital Archives.Briefly, I want to describe the results of two joint projects funded by the National Historical Publications and Records Commission (NHPRC). The first project, Privacy and Access in Georgia E-Government, was an educational to begin to raise awareness and find solutions to the challenges presented by confidential information � in particular, personally identifiable information. The project sponsored a week long conference during which speakers gave presentations followed by several hours of audience discussion resulting in recommendations for action. A whitepaper outlining an agenda for action in the area of information management was prepared and distributed at the end of the grant. A demonstration project (refer to case study) tested the viability of using XML schemas to protect confidential information. The second project is currently underway. Preserving Georgia�s Historical Data provides the Georgia Archives with funding to develop and test procedures for the transfer of historical data. Working with GTA, we are identifying needed technology standards that will ensure the creation and maintenance of reliable records that can more easily be preserved by the Archives. In addition, GTA is assisting in the development of a proposed architecture and business case for the construction of the state�s Digital Archives.

5. Lifecycle Management of Electronic Records: Georgia as a Case Study This is a graphical representation of the lifecycle of Electronic Records in Georgia. This model was developed as part of our Privacy and Access project and was published as part of the whitepaper. Our second project, Preserving Georgia�s Historical Data takes several of the recommendations from this report and begins to implement them. In particular, we are working in the areas of classification and maintenance and testing our transfer procedures from Disposition.This is a graphical representation of the lifecycle of Electronic Records in Georgia. This model was developed as part of our Privacy and Access project and was published as part of the whitepaper. Our second project, Preserving Georgia�s Historical Data takes several of the recommendations from this report and begins to implement them. In particular, we are working in the areas of classification and maintenance and testing our transfer procedures from Disposition.

6. Lifecycle Management of Electronic Records: Georgia as a Case Study Policy � technology and record keeping policies with each agency Standards � single and jointly issued standards impacting technology selection and record keeping Technical Infrastructure � data sharing, data transfer, and data assurance requirements with each agency Guidelines � single and jointly issued to guide implementation of standards Procedures � agency implementation requirements The areas of classification and maintenance in the lifecycle model rely on a framework of policy and standards supported by legislation. The areas of classification and maintenance in the lifecycle model rely on a framework of policy and standards supported by legislation.

7. Lifecycle Management of Electronic Records: Georgia as a Case Study Where are we? Technology Standards: XML Technology Standards (ENT-01-001-STD) Enterprise Content Management (ECM) Standard (draft) (DoD 5015.2-STD), to be jointly issued Record Keeping Standards: Minimum XML Schema Standard (draft), to be jointly issued Accepted File Formats for Permanent Records (draft), SOS standard We have been working on this project since March 2005. Here is where we are -- We have been working on this project since March 2005. Here is where we are --

8. Lifecycle Management of Electronic Records: Georgia as a Case Study Technical Infrastructure: Evaluating need for enterprise contracts for ECM Collaborating on design of digital archives (in planning stages) Guidelines: Email management guidelines and standards work slated to begin in January 2006. Procedures: Centered on each agency�s requirements (particularly Archives requirements) for records

9. Lifecycle Management of Electronic Records: Georgia as a Case Study Implementation: The �stick� rarely works, so . . . Identifying best practices Funding case studies and demonstration projects Using professional associations as an educational tool Now for the challenging part of our project � implementation. Best practices � we are currently working to identify best practices in specific areas of information management such as in email management, data transfer, and data quality assurance in order to highlight these success stories Having funded one demonstration project � use of XML to shield confidential data � we are currently working with Pardons and Paroles to implement a records management application in the agency. Professional associations provide us with the �marketing� tool needed to raise awareness and highlight this work.Now for the challenging part of our project � implementation. Best practices � we are currently working to identify best practices in specific areas of information management such as in email management, data transfer, and data quality assurance in order to highlight these success stories Having funded one demonstration project � use of XML to shield confidential data � we are currently working with Pardons and Paroles to implement a records management application in the agency. Professional associations provide us with the �marketing� tool needed to raise awareness and highlight this work.

10. Lifecycle Management of Electronic Records: Georgia as a Case Study Professional Associations: Georgia Document Management Association National Electronic Commerce Coordinating Council � www.ec3.org Two of the many associations we work through � GDMA is a community of government officials who work together to write and review RFPs, share information, evaluate draft state standards, and provide training. The GDMA has a member�s only web site so that agencies can share RFPs and other confidential information without fear of inappropriate access. The GDMA is a full partner on our current project and will provide a publication arena for its results. NECCC is an association of government associations that works to facilitate communicate and sharing of best practices in E-government and technology. Allied associations participate in working groups and conferences designed to identify and highlight best practices in the areas of e-payments, contracting, records management, auditing, and administration of e-government projects. The goal being to improve government processes. These associations (and others) provide us an avenue to share ideas, evaluate standards and processes, and highlight the things that worked or didn�t.Two of the many associations we work through � GDMA is a community of government officials who work together to write and review RFPs, share information, evaluate draft state standards, and provide training. The GDMA has a member�s only web site so that agencies can share RFPs and other confidential information without fear of inappropriate access. The GDMA is a full partner on our current project and will provide a publication arena for its results. NECCC is an association of government associations that works to facilitate communicate and sharing of best practices in E-government and technology. Allied associations participate in working groups and conferences designed to identify and highlight best practices in the areas of e-payments, contracting, records management, auditing, and administration of e-government projects. The goal being to improve government processes. These associations (and others) provide us an avenue to share ideas, evaluate standards and processes, and highlight the things that worked or didn�t.

11. Lifecycle Management of Electronic Records: Georgia as a Case Study Amelia Winstead State & Local Government Services Manager Records & Information Management Services Georgia Archives, Office of Secretary of State awinstea@sos.state.ga.us www.sos.state.ga.us/archives/who_are_we/rims/ For those interested in our project and wanted to know more, please check out our website � we will be posting the policies, standards, and progress reports as we move through this project. Thanks you for your time.For those interested in our project and wanted to know more, please check out our website � we will be posting the policies, standards, and progress reports as we move through this project. Thanks you for your time.