Goal: The primary goal of Phase I of the State Electronic Records Initiative (SERI) is to create a more detailed profile of the status of state electronic records programs. This profile or snapshot in time will provide the necessary data from which to develop an action plan that addresses needs and identifies next steps.
Methodology: A group composed of the consultant, Philip Bantin (Indiana University), members of the SERI Steering Committee, and CoSA staff will conduct phone interviews with the directors and electronic records staff in each state and territorial archives and records management program. A group of other Advisors – composed of individuals with relevant experience in managing electronic records programs and representatives from key organizations like NASCIO and NASS – will be asked to participate in refining the questions, analyzing the results, and developing recommendations for next steps.
Outputs: The consultant, with input from the SERI Steering Committee and Advisors, will analyze the results of the phone interviews and conduct additional research as appropriate. Resulting reports may include:
Profiles of the current status of electronic records programs
in each state and territory;
A compilation and interpretation of the survey data;
Identification of standards, policies, procedures, work flows, and other models that can be replicated across state lines;
An executive summary of the survey results;
An action plan defining the high priority needs and recommending next steps.
Survey Questions: In the FY2008 and FY2010 CoSA surveys of state archives and records management programs, the following data were collected relating to electronic records management:
1) Program – Does an electronic records program exist? What are the major components of the electronic records program?
2) Staffing – How many staff are allocated to electronic records management?
3) Scheduling – How many electronic records have been scheduled? How have electronic records changed scheduling methodology?
4) Accessions – How frequently are electronic records accessioned?
5) Holdings – What is the total volume of electronic records in the state archives? What is the total volume of electronic records in the Record Centers?
These survey questions provide a good, basic profile on state electronic records programs. However, they do not provide us with enough information to develop an action plan for moving the electronic records agenda forward. To achieve this, more detailed data are needed on a variety of issues which can be arranged under four broad headings:
1) Strategies for creating and funding an electronic records programs;
2) The articulation of the primary barriers to success;
3) The specific strategies implemented for dealing with issues like ingestion or capture of records, retention and disposal, description and metadata, custody, access, and preservation;
4) Articulation of a priority list of specific needs designed to advance the electronic records agenda and areas of possible collaboration among the states.
