Meeting of the Board of Regents | October 2007

Monday, October 1, 2007 - 8:20am

SED seal

THE STATE EDUCATION DEPARTMENT / THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY, NY 12234

signature

TO:
FROM:	Jeffrey Cannell
SUBJECT:	New York State Archives Five Year Plan and Strategic Priorities
DATE:	October 1, 2007
STRATEGIC GOAL:	4
AUTHORIZATION(S):

SUMMARY

Issue for Discussion

The Archives has completed a planning effort to identify strategic priorities that will be the focus of the entire State Archives organization for the next five years. A preliminary report was shared with the Committee at its June meeting. The Committee requested a presentation of the full plan when it was completed.

Reason(s) for Consideration

Review of Policy.

Proposed Handling

The Regents will review the five year strategic plan and will discuss the opportunities and challenges these embody for the Archives service and stewardship functions. This issue will come before the Cultural Education Committee at its October meeting.

Background
Information

The State Archives is an energetic organization focused on positive and steady progress in all areas of its work. It is necessary, however, to reassess and refine our focus in order to keep pace with professional, governmental, technological, and societal change, to take advantage of opportunities presented by the Regents P-16 initiative, and to promote greater efficiency and accountability in state and local government through the services that we provide. The Archives has used its strategic planning effort to identify four key areas for attention. While there are a number of areas in which enhanced capacities are desirable, realistically the Archives cannot address all of these within the parameters of its budget and staffing resources. By assessing program needs, resources and the political and professional climate, the Archives has identified those areas where it has the best opportunity to make a significant impact in programming and services over the next five years. Since the presentation of the four priorities in June, staff have developed a full plan with budget, personnel and technology implications and suggested partnerships.

The four strategic priority areas are:

Develop and implement a program to manage effectively all records of New York State government including executive agencies, the governor and the legislature.
Establish a fully-functioning program that addresses the challenges of managing the electronic records of government.
Build capacity in government and private records repositories statewide to protect their collections and facilities from natural and manmade disasters.
Become the hub for information about using historical records for educational purposes.

Recommendation

Staff recommend that the Regents endorse this plan as an essential component of SED’s stewardship of the State’s information resources. Key to achieving the goals will be ensuring the necessary technology infrastructure, partnerships, and fiscal/staff resources to accomplish them.

Timetable for Implementation

Implementation of this plan began in September 2007 and will continue with yearly review and adjustment through March 2011.

New York
State
Archives

Strategic Plan and Priorities, 2007-2011

New York
State
Archives

Strategic Priority:

Develop and implement a program to manage effectively all records of New York State government including the executive, executive branch agencies, the judiciary, statewide public authorities, and the Legislature.

Activities that need to be undertaken to accomplish this priority	Time frame for the activity	Technology implications	Personnel implications	Budget implications	Partnerships to pursue
1. Clarify and augment the Archives’ authority over state government records.
Create a collection policy statement for executive, legislative and judicial records	2007-08	No new technology needed. Website page Design for pubs/mailings	Team of 3 or 4 staff DO .10 FTE G23 (2) .20 FTE G18 (1) .20 FTE Chief/AS .10 FTE Chief/GRS .10 FTE Intern	$1500 (intern) Travel for meetings--$1000 Publications/ flyers/ mailings $2000	Executive Chamber State Legislature State Agencies Office of Court Administration Historical Society of the Courts SHRAB Research community Albany Law School, Government Law Center
Implement a strategy for establishing laws ensuring that governor’s records and other archival records of state government are preserved and accessible	2007-08 (define) 2008-2011 (implement)	No new technology needed.	Same group as above, time above accounts for this work State Archivist .05 FTE		(same as above)
Promote the requirement that all state agencies maintain an up-to-date inventory of records and information systems	2007-08 (plan) 2008-2011 (implement)	Adjustment to existing scheduled records db? New db?	Chief/GRS .05 FTE G-26 .10 FTE G23 .10 FTE G18 .10 FTE (IT—need estimate)		RMO’s

Activities that need to be undertaken to accomplish this priority	Time frame for the activity	Technology implications	Personnel Implications	Budget implications	Partnerships to pursue

Provide the capacity to conduct records management on-line.	2007-08 (research) 2008-09 (procure or build system)	(need IT advice on technology need)	Staff team: G26 G23 G18 (2)	Tech. Costs (need advice on estimate) IT staff cost (need advice from IT)	DOB OFT
Make recordkeeping an audit criterion	2007-2008 (develop strategy) 2008-2011 (implement)	minimal	Chief/GRS .10 FTE G26 .10 FTE New G26 (inspector general (2008-2011)	PS – G-26 salary	OSC SED Audit Unit
Develop NYSA’s public access policy disclosure procedures	2007-08	No new technology needed	Staff team G26 .10 FTE G18 .10 FTE G18 (GRS) .10 FTE		Office of Counsel Committee on Open Government Government Law Center
Clarify responsibilities and collect State Legislative Records
Define relationship of legislative collecting policy to other repository collecting practices	2007-08	Design for pubs/mailings	Team of 2 or 3 staff Intern	$1500 (intern)	Legislative staff
Identify key legislators or legislative committees to approach and initiate contact	2007-08 2008-2011		State Archivist .05FTE DO .05 FTE	Publications/flyers/ mailings $2000
Working with key Legislative staff, begin inventory, develop records policy, and draft records management plan for Legislature	2009-2011		Staff team G23 (new)	PS - G23 salary

Activities that need to be undertaken to accomplish this priority	Time frame for the activity	Technology implications	Personnel implications	Budget implications	Partnerships to pursue

3. Clarify responsibilities and promote care of Judicial Records
Initiate discussion with OCA on disposition of archival court records and a judicial collecting policy.	2007-08		G-26 .10 FTE DO .10 FTE State Archivist .05 FTE		Office of Court Administration Historical Society of the Courts

New York
State
Archives

Establish a fully functioning program that addresses the challenges

of
managing the electronic records of government

Activities that need to be undertaken to accomplish this priority	Time Frame	Technology Implications	Personnel Implications	Budget Implications	Space Needs	Partnerships to Pursue
Initiate a public relations campaign to develop support for a serious archival electronic records management system in New York State.	Ongoing (2007-2011)	None	Approximately, .75FTE at the M2 and higher level	None	None	Hire a public relations firm Identify and inform interested legislators Work with NARA to see how they promoted the ERA
Develop a research agenda, and initiate a regular and intensive system of research on electronic records technology.	Ongoing (2007-2011)	None	Can be folded into the work of Electronic Records Team, along with some additional time from others in GRS and Archival Services staff .75FTE G23 .1FTE G26	None	None	The Forum Center for Technology in Government CoSA (Council of State Archivists)
Develop internal preservation standards to address three important areas of interest: XML as a preservation solution, and the preservation of GIS records.	Ongoing (2007 – 2011) PDF/A (2008) XML (2009) GIS (2011)	Potential need to purchase additional hardware and software, but these are unknown at this time.	Significant staff resources, primarily from the Electronic Records Working Group. .25FTE G23 1.25FTE G18	Unknown currently, but there could be costs associated with the purchase of additional equipment or software.	None	Other State Archives CSCIC (for GIS preservation) OFT
Help establish consistent electronic recordkeeping practices between state agencies and local governments, in cases where they share records creation.	Ongoing (2007 – 2011)	None	Requires the time of a number of professional staff. Can be accomplished as part of their regular work 1FTE G23 1FTE G18	None	None	State agencies with local government oversight
Develop a secure, trustworthy and largely automated digital repository that can ingest, store, and preserve electronic records.	Ongoing (2007 – 2011)	Significant additional server space, hardware, and software	New IT staff to manage the technical aspects. New RM staff to handle relationships with state agencies, local governments, and other possible customers. 2FTE G23 4FTE G18	Significant costs. Hardware and software purchases. Annual maintenance contracts. Adequate storage conditions. Backup costs. Development of a full system could run into the millions for this time period.	Space for additional staff. Environmentally controlled space to house the system itself.	SED’s IT Office for Technology Office of General Services Division of the Budget
Develop procedures for staff and agencies for dealing with the OpenDocument Format.	Aug 2007 – Jan 2008	None	Requires the time of two ARMS 3s to study the issue. .25FTE G13	None	None	Office for Technology Other State Archives Council of State Archivists
Develop technical and informational appraisal standards to be used in evaluating electronic records systems.	By mid-2008	None	Staff time to develop the appraisal standards More technical training for some staff on working with and understanding certain file formats .1FTE G23 .25FTE G18	Modest costs. Possible hiring of consultant to work with us on developing these standards. The cost of this could be as small as $5,000.	None	Other state archives Other electronic records practitioners Consultant
Establish and enforce procedures for creating and storing the Archives’ electronic business records within NYSA.	By end of 2008	New software Possible additional server space Initial customization of software	Would require significant staff resources. Refocus staff on this project, releasing them from other responsibilities. Software training for staff software administrators Software training for all staff. .25FTE G26 .5FTE G23 1FTE G18	Significant initial implementation costs (in the tens of thousands) for training and setup. Larger costs for additional seat licenses and training when the project is expanded into SED.	None	SED’s Information Technology Deputy Commissioner’s Office
Develop a system to allow for the secure transfer of electronic records via FTP.	By end of 2008	Possibly, some additional software	Electronic records staff working with SED IT to solve this problem. Small amount of time of one G23 to work with IT	None expected. Possibly software purchase costs.	None	SED IT
Develop guidelines for state agencies and local governments that correspond with our internal preservation policies.	By end of 2008	None	Time of the Electronic Records Team, the Electronic Records Working Group, and GRS and Archival Services staff .1FTE G26 .25FTE G23 .5FTE G18	Possibly as much as $5000 for consultant time	None	Other State Archives Our ER consultant
Expand the use of electronic records inventories by piloting a state agency ER inventory and developing an online tutorial on inventorying electronic records.	By end of 2008	Can use Elluminate for tutorial	Staff time to consider the issue, find and work with a state agency, and develop training materials. .1FTE G23 .5FTE G18	None	None	SED IT (to work with Elluminate) Others who have conducted electronic records inventories
Develop procedures for managing and avoiding potential electronic records disasters in government agencies. (Related to the disaster planning strategic priority.)	By end of 2008	None	Modest amounts of staff time over the course of a year. Expand work with CSCIC to include state agencies Publicize CSCIC products. .1FTE G23 .5FTE G18	None	None	CSCIC
Work with agencies to make their e-records in and outside our custody accessible online and to link to them from our catalog and website, and develop ways to provide access to our ER holdings via our website.	Three years (2008-2010)	Bandwidth. Possible need for additional software Possible technological implications with cooperating agencies	Significant personnel time to identify likely state agencies, work with them to identify potential records to make available, and set up descriptions of and links to the records. .25FTE G23 1FTE G18	No additional costs Assumes the repurposing of existing staff. Could require 25% time of a half dozen staff over a number of years.	None	State agencies
Investigate electronic records partnerships with other state archives.	Complete by 2009	None initially	Develop a network of state archives. Time to write and manage collaborative grants with other state archives. .1FTE G26 .25FTE G23	None, unless a collaborative grant project is put in place.	None (unless staff are hired under a grant project)	Other state archives, including the New Jersey Department of Archives and Records Management
Launch a public awareness campaign on the Archives’ electronic records.	By 2010	None	Modest amounts of time from and handful of staff from Archival Services, PPO, and APT. .1FTE G23 .5FTE G18	Based on extent of a campaign, seek $3K to $5K through APT to support products and fees.	None	Agencies whose electronic records we hold Possible funding partners

New York
State
Archives

Strategic Priority

: Build capacity in records repositories statewide to protect their collections and facilities from natural and manmade disasters.

Activities that need to be taken to accomplish this priority	Time frame for the activity	Technology implications	Personnel implications	Budget implications	Partnerships to pursue
1. Conduct research	FY 2007-08		.25 FTE GRS G18 .25 FTE AS G18 Student intern	$5,000/intern
Benchmark with other organizations, agencies, and states	Nov 07-Jan 08				Other State Archives CoSA BCP interagency committee
Clarify and coordinate disaster assistance resources for DHP, local government, and state agency customers	Jan-Mar 08				State Museum State Library 3 Rs Heritage Preservation MANY SEMO FEMA
Conduct a survey to identify the needs of our customers [this will happen if we get the IMLS Connecting to Collections grant]	Mar-Aug 2008			IMLS?	MANY Proj partners
2. Expand and improve education on managing records disasters	FY 2007-08 FY 2008-09		ARMS 2 (new hire) .25 FTE GRS G18 .25 FTE AS G18 .25 FTE ATS	G18 salary $12,000 travel
Conduct inventory of current training. Identify successes as well as gaps in topics covered, audiences reached, and geographic distribution.	Jan-Mar 2007
Develop new educational tools and new delivery methods that address gaps	Beg Apr 2008	Webinars Elluminate Self-direct CDs		FEMA/ CoSA grant?	SED IT CoSA NARA
Provide emergency preparedness and management education	On-going	Webinars Elluminate Self-direct CDs		FEMA/ CoSA grant?
Make disaster planning part of the SAS Program Wellness campaign		Webinars On-line resource			Internal Control Officers SEMO
Promote disaster plans; explore incentives to planning	Beg Apr 2008				NEDCC SEMO LGRAC SHRAB
Research and document resources necessary for continued operations involving electronic records	Beg Apr 2008				OFT SEMO NASCIO SED IT
3. Coordinate and enhance interagency, intergovernmental, and regional resources and efforts for disaster response and recovery	FY 2008-09 FY 2009-10		ARMS 2 (new hire) .25 FTE GRS .25 FTE AS
Establish ways to communicate with colleagues, constituents, and emergency managers in an emergency	FY 2008-09				SEMO CoSA OCE Deputy FEMA
Propose and advocate for legislation to support emergency planning and response					SED leadership SHRAB
Ensure archives and records issues are addressed by the Disaster Preparedness Commission. (State Archivist on the Commission?)	FY 2008-09		Exec council		SEMO SED leadership SHRAB
Evaluate ACIS and other systems for utility as directories in an emergency. Coordinate directories with SEMO	FY 2008-2009				SEMO SED IT
Identify funding, resources, and services and assist in matching customers to resources as needed	FY 2008-09				FEMA SEMO LG emerg. agencies County Emerg. Management Officers
Identify eligibility requirements and describe application processes for our customers	FY2008-09				OFT SEMO FEMA
Research ways to facilitate emergency purchasing/spending by State agencies and local governments	FY 2008-09
Develop statewide or regional vendor contracts for emergency recovery services	FY 2008-09				SEMO OGS OCE Deputy SED Fisc Man
Investigate partnerships for remote electronic storage and backups	FY2008-09				SEMO OGS OFT SED IT BCP interagency committee
4. Build web resources to assist customers with emergency planning and response	FY2008-09 FY2009-10		ARMS 2 (new hire) .25 FTE GRS .25 FTE AS	Unknown	OFT and others SEMO
Develop a dynamic resource with links to State Archives disaster services, funding sources, best practices, sample plans/contracts, etc.		Online resource Emergency alert systems			SEMO NEDCC

New York
State
Archives

Strategic Priority: Become the hub for information about using

historical
records for education purposes.

Activities that need to be undertaken to accomplish this priority	Personnel implications	Technology implications	Budget implications	Space	Partnerships to pursue	Time Frame
1. Produce a manual [electronically and on paper] that instructs educators and records custodians how to transform historical records into educational tools, i.e., a revised Consider the Source to respond to demand by teachers and schools of education.	G23	Website	$70,000 [$35,000 in hand]		APT	FY 2007-2008 2008-2009
2. Plan and develop a program of outreach services to pre-service teachers in schools of education in colleges and universities around the state.	G23 G23 (new)	Online training	G23 salary $20,000 for possible video/podcast/other?	Office	Colleges and universities, SED Higher Ed.	2008-ongoing
3. Develop integrated Archives/Trust presentations for use at local, state and national education and archives conferences - presentations, workshops, displays, and distribution of materials.	G23 (new)		G23 salary $5,000 materials	Office	APT	2008
4. Establish the NYS Archives as a major player in the use of historical documents in the classroom by writing for professional journals, publications and websites; become more active via listservs and blogs.	G23 (new)		G23 salary	Office	AASLH, SAA, NCHE, NCSS, NYCSS	2009 - ongoing
5. Serve as liaison to EMSC, SED and OCE committees.	G23				Colleagues in SED	ongoing
6. Increase efforts to actively encourage proposals in the Educational Uses grant category of LGRMIF and monitor the projects to ensure quality and compliance.	G23 (new)		G23 salary	Office	Educators, Local government GRS	Late 2008 – ongoing

Activities that need to be undertaken to accomplish this priority	Personnel implications	Technology implications	Budget implications	Space	Partnerships to pursue	Time Frame
7. Distribute and promote the products of successful LGRMIF educational grants to educators and local governments around the state.	G23 (new)	Website	G23 salary $15,000 (editing, design, marketing)	Office	State and regional social studies councils/GRS APT, EMSC	2009 - ongoing
8. Develop content-rich educational materials that are based on Archives holdings and are connected to the department’s learning standards; distribute and promote them in a variety of ways including, but not limited to, our website.	G23 (new)	Website	G23 salary	Office	ArchServ/ NYSL EMSC APT	ongoing
9. Work with RAOs and DHP archivists on regional workshops, grant consultations and monitoring, and teacher training.	G23 (new)	Online training	G23 salary	Office	Local government and historical orgs. EMSC	ongoing
10. Work closely with the APT to co-develop fundable educational projects.	G23 (new)	Website	G23 salary	Office	APT, funders, ArchServ	ongoing
11. Develop and maintain an “On This Date in New York History” webpage and/or podcast 12 “Document of the Month” features per year.	G23 (new)	Website	G23 salary	Office	ArchServ/ NYSHA	2009
12. Develop on-site (11th floor) teacher training and educational programming.	G23 (new)		G23 salary	Office	ArchServ, NYSL, APT	2010
13. Research, develop and implement video-conferencing, webinars, pod casts, etc. for educators, pre-service teachers and other audiences. [La Escuela, etc.]	G23 (new)	Website Online training	G23 salary/ $20,000 (e.g., NY Network)	Office	EMSC, ArchServ, NY Network	2008
Activities that need to be undertaken to accomplish this priority	Personnel implications	Technology implications	Budget implications	Space	Partnerships to pursue	Time Frame
14. Administer the Student Research Award program and increase promotional activities to increase the number of applicants.	G23 G23 (new)	Online application	G23 salary	Office	EMSC, NYSHA APT	ongoing
15. Conduct educator focus groups to evaluate current educational programs and to inform future direction of program. (1997, 2004)	G23		$15,000 For teachers and facilitator.	X	EMSC, APT	2010
16. Develop partnerships with RPI and other university technology departments others to create an Erie Canal educational video game.	G23 (new)	TBD	G23 salary $200,000 +	Office	Colleges and universities/ technology experts/APT	2010
17. Work with Museum staff to integrate primary source documents into exhibitions.	G23 G23 (new)	TBD	G23 salary	Office	Museum/ Library Arch Serv	2009