Ken Matthews ERM Program Manager, USAID

Education Code: MO04-2971

Learning Objectives
Upon completion of this session, participants will be able to:
Summarize how ERM is every individuals responsibility Encourage and empower other individuals to apply ERM concepts and procedures immediately

The Titanic was one of the largest passenger cruise ships at its time in 1912.

ource: abc.go.com/ shows/lost

It sunk to the bottom of the Atlantic Ocean on April 15, 1912 at 2:30am.

SAVED

History of Electronic Records in the Federal Government

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 The first personal computer (PC) hit the market in the early 70s and by the middle 80s, PC use had climbed to 65 million users. Since introduction of the world wide web (www) in the early 90s, this figure has now risen to astronomical proportions. Widespread creation of electronic records at the workplace roughly began in the middle 80s 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:

Efficient vs. Effective

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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

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 Short Get A Seat At The Table

Be SMART
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What LEGAL Implications Should Be Considered

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Agency Obligations
Make and preserve records that contain adequate and proper 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 directly affected 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 to consider the fact that electronic records are housed on 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, PDAs, smart phones Secure office vaults
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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 Solution

1. Create records 2. Store records 3. Manage paper records 4. View records 5. Manipulate records 6. Link metadata 7. Link related record peripheral devices 8. Electronic signature administrator functions 9. Manage & categorize file plans 10.Apply disposition schedules 11. Perform auditing, backup, & recovery functions

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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
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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 to electronic records management Provides framework for sound electronic records management practices Aides in searchability, findability and retrievability

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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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NARAs Electronic Records Challenge

Diversity Complexity Open-ended growth Obsolescence Continuing change Durability

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NARAs Solution

To the Challenges of Electronic Records:

ERA = Electronic Records Archives

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The Wave of the Future

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The Electronic Records Program at USAID

Our Personnel Our Program Our Priorities Our Plan
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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

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In Summary

Last words are lasting words

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 Electronic records management One of the most important business functions! Why?

Without a viable electronic records management solution it is difficult, if not impossible to meet the demands of eDiscovery. Without a viable electronic records management solution it is difficult, if not impossible to manage the myriad and magnitude of information posed by the current Web 2.0 trend.

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Without a viable records management solution President Obamas Open Government Initiatives will never be fully realized

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My Ultimate Solution! GPS type of Electronic Records Management Application!

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Q& A
QUESTIONS ANSWERS
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Continue the Conversation!

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Managing Electronic Records in a Federal Government Environment

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Ken Matthews ERM Program Manager, USAID kmatthews@usaid.gov
Education Code: MO04-2971
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