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Ken Matthews
ERM Program Manager, USAID
Education Code: MO04-2971Education Code: MO04-2971
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Learning Objectives
Upon completion of this session,participants will be able to:
Summarize how ERM is every individual’s
responsibility Encourage and empower other individuals to
apply ERM concepts and procedures
immediately
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The Titanic was one of the
largest passenger cruise ships atits time in 1912.
It sunk to the bottom of
the Atlantic Ocean on
April 15, 1912 at2:30am.
ource:
abc.go.com/
shows/ lost
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SAVED
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History of Electronic Records
in the
Federal Government
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The first personal computer (PC) hit the market in the
early 70’s and by the middle 80’s, PC use had climbed to
65 million users. Since introduction of the world wide web (www) in the
early 90’s, this figure has now risen to astronomical
proportions.
Widespread creation of electronic records at theworkplace roughly began in the middle 80’s with
introduction of the PC, but lifecycle management of these
e-records has not kept pace as recordkeeping today still
focuses on paper records. Recent mandates GPEA and E-Gov have forced
agencies to start finding solutions to manage the ever
increasing volume of electronic records being created.
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The Tyranny of the:
EfficientEfficient
vs.
EffectiveEffective
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The Big Challenges
Information Overload Investment in Software functionality that creates
records is growing
Litigation and discovery costs skyrocketing
Mission critical records not retrievable or
useable
Premature destruction
Lack of Personnel and Effective Tools Manage
Electronic Records
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Topics to Be Considered
How to obtain executive support? What are some issues that cause resistance
from end users tasked with managing
eRecords?
The benefits and consequences of applying
eRecords management.
Information and tools that can be applied
immediately. NARA involvement in the management of
Federal Records
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What Is a Record?
A record consists of information, regardless of medium, detailing the transaction of business.
Records include all books, papers, maps, photographs,
machine-readable materials, and other documentary
materials, regardless of physical form or characteristics,made or received by an Agency of the United States
Government under Federal law or in connection with the
transaction of public business and preserved or appropriate
for preservation by that Agency or its legitimate successor as evidence of the organization, functions, policies,
decisions, procedures, operations, or other activities of the
Government or because of the value of data in the record.
(44 U.S.C. 3301)
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What Are Electronic Records?
Electronic Records are those materials that
meet the definition of a record and are produced
or created electronically. In addition:
– Electronic Records are created by a computer and
read by a computer
– Electronic Records are produced on many different
types of media – Our hand held devices are producing Electronic
Records
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Many Electronic Records are stored in The
Information Systems we work with daily . This
information, which may include records, is
referred to as ESI or Electronically Stored
Information. Information Systems generate and
store different types of decisions at different
levels of the organizational hierarchy.
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How to Obtain Executive Support
• Be SMART
• Get A Seat At The Table
• Be Short
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What LEGAL Implications
Should Be Considered
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Agency Obligations
Make and preserve records that contain “adequate andproper documentation of the organization, functions,
policies, decisions, procedures, and essential
transactions of the agency… [that] protect the legal and
financial rights of the Government and of persons directlyaffected by the agency's activities. (44 U.S.C. 3101).
Establish a records management program. (44 U.S.C.
3102).
Establish safeguards against the removal or loss of records…. (44 U.S.C. 3105).
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Where Are the E-Records in
Your Organization?
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We need toconsider the fact
that electronic
records are housedon various types of
media.
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What Are the Various Types of
Media Which Store Electronic
Records?
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What Are the Electronic
Records?Work stations Data centers
Back up tape storage facilities
File cabinet
Offsite storage facilities
Media centers Portable & mobile devices, laptops,
PDA’s, smart phones
Secure office vaults 19
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What Do We Need to Consider, If
We Are Going to Effectively
Manage Electronic Records? Value of a record is determined by content ,
not format !
If we do not manage our electronic records,
they could very well spiral out of control
We must make the management of electronic records a part of our normal daily
workflow
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Records Lifecycle
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Functional Requirements
Needed to Implement a
Feasible E-Records Solution1. Create records
2. Store records
3. Manage paper
records
4. View records
5. Manipulate records6. Link metadata
7. Link related record
peripheral devices
8. Electronic signature
administrator
functions9. Manage &
categorize file plans
10.Apply dispositionschedules
11.Perform auditing,
backup, & recovery
functions 22
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The Benefits of Implementing an
Electronic Records Application
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How to Achieve Electronic
Records Management That
Will Have Sustainable Results Implement an effective project plan
Know your intellectual assets and be sure they
are all addressed in your ERM solution
Select a solution that best meets the
requirements of your organization
Select the most user friendly system possible Test, assess, and evaluate your ERM regularly
Train, Train, and Train
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Action Items:
Put First Things First Training, training, and more training
– Education, information, and activation
Establish a network
Develop a plan
Fulfill NARA requirements
– Schedule information systems
– NARA reporting requirements
Implement a uniform e-filing system
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A Suggestion for an
E-Filing System An electronic filing system is used to aide in the
organization and preservation of electronically stored
information (ESI)
The Process:
– Propose a plan – it always begins with you
– Begin with a purge day:
• Reduce
•Retain
• Refuse
– Implement an electronic filing system that will best
represent a uniform filing convention for your Agency
Some examples… 26
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Benefits of E-Filing
Aides in migration Prepares staff for an electronic records
management application
Aides in the transition of new staff adaptation toelectronic records management
Provides framework for sound electronic
records management practices
Aides in searchability, findability andretrievability
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What About the National
Archives and Records Administration (NARA)?
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NARA Requirements
KNOW YOUR NARA ARCHIVIST
FEDERAL RECORDS OFFICER
AGENCY SELF ASSESSMENT
SCHEDULING INFORMATION SYSTEMS
ARCIS
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NEW NARA Initiatives
Vital Records & Disaster Recovery
Records Management Redesign
Department of Defense (DoD) Standard 5015.2
Electronic Records Archives (ERA) Program
E-Government Electronic Records Management Initiative
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NARA’ El i R d
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NARA’s Electronic Records
Challenge
Diversity
Complexity
Open-ended growthObsolescence
Continuing change
Durability
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NARA’s Solution
To the Challenges of To the Challenges of
Electronic Records:Electronic Records: ERA = Electronic Records ArchivesERA = Electronic Records Archives
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The Wave of the Future
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Th El t i R d
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The Electronic Records
Program at USAID
Our Personnel
Our Program
Our Priorities
Our Plan
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Ei ht U i F t f
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Eight Unique Features of
Managing Federal Records NARA is the Agency which oversees the
management of federal Records
DOD 5015 is the Standards requirements document
Records Scheduling provides the authority for
records destroying Every Federal employee has a responsibility to
manage Federal records
E-Mail may be vanishing, but in a Federal context it is
still the giant elephant The Federal Records Act is still binding
Social networks have introduced new challenges
Open Government can not be achieved without
effective records management 35
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In Summary
Last words are
lasting words…
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Without a viable electronic
records management
solution it is difficult, if notimpossible to meet the
demands of eDiscovery.
Without a viable electronicrecords management
solution it is difficult, if not
impossible to manage the
myriad and magnitude of
information posed by thecurrent Web 2.0 trend.
Electronicrecords
management
One of the mostimportant
business
functions!
Why?
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Without a viablerecords
management
solution PresidentObama’s Open
Government
Initiatives will never be fully realized
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My Ultimate Solution!
GPS type of Electronic
Records ManagementApplication!
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AQ&Q U E S T I O N SQ U E S T I O N S
A N S W E R SA N S W E R S
40
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Continue the Conversation!Continue the Conversation!
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… and find us on Facebook & LinkedIn
by searching for ARMA International!
Tweet this Session:
#ARMA112971 41
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Managing Electronic Records inManaging Electronic Records in
a Federal Governmenta Federal Government
EnvironmentEnvironment
Please Complete Your Please Complete Your
Session EvaluationSession Evaluation
Ken Matthews
ERM Program Manager, [email protected]
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