MatthewsK_ManagingElectronicRecords_MO04-2971_2011-09-14 (1)

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Ken Matthews

ERM Program Manager, USAID

Education Code: MO04-2971Education Code: MO04-2971



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

2



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

3



SAVED

4



History of Electronic Records

in the

Federal Government

5



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.

6



The Tyranny of the:

EfficientEfficient

vs.

EffectiveEffective

7



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

8



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

9



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)

10



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

11



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.

12



How to Obtain Executive Support

• Be SMART

• Get A Seat At The Table

• Be Short

13



What LEGAL Implications

Should Be Considered

14



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).

15



Where Are the E-Records in

Your Organization?

16



We need toconsider the fact

that electronic

records are housedon various types of

media.

17



What Are the Various Types of

Media Which Store Electronic

Records?

18



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



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

20



Records Lifecycle

21



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



The Benefits of Implementing an

Electronic Records Application

23



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

24



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

25



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



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

27



What About the National

Archives and Records Administration (NARA)?

28



NARA Requirements

KNOW YOUR NARA ARCHIVIST

FEDERAL RECORDS OFFICER

AGENCY SELF ASSESSMENT

SCHEDULING INFORMATION SYSTEMS

ARCIS

29



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

30

NARA’ El i R d

http://www.archives.gov/records-mgmt/initiatives/rm-redesign-project.html

http://www.archives.gov/records-mgmt/initiatives/dod-standard-5015-2.html

http://www.archives.gov/era/

http://www.archives.gov/records-mgmt/initiatives/erm-overview.html

http://www.archives.gov/records-mgmt/initiatives/erm-overview.html

http://www.archives.gov/era/

http://www.archives.gov/records-mgmt/initiatives/dod-standard-5015-2.html

http://www.archives.gov/records-mgmt/initiatives/rm-redesign-project.html



NARA’s Electronic Records

Challenge

Diversity

Complexity

Open-ended growthObsolescence

Continuing change

Durability

31



NARA’s Solution

To the Challenges of To the Challenges of

Electronic Records:Electronic Records: ERA = Electronic Records ArchivesERA = Electronic Records Archives

32



The Wave of the Future

33

Th El t i R d



The Electronic Records

Program at USAID

Our Personnel

Our Program

Our Priorities

Our Plan

34

Ei ht U i F t f



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



In Summary

Last words are

lasting words…

36



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?

37



Without a viablerecords

management

solution PresidentObama’s Open

Government

Initiatives will never be fully realized

38



My Ultimate Solution!

GPS type of Electronic

Records ManagementApplication!

39



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



Continue the Conversation!Continue the Conversation!

@ARMA_INT or #ARMA11Twitter

http://iconference.arma.orgARMA iConference

… and find us on Facebook & LinkedIn

by searching for ARMA International!

Tweet this Session:

#ARMA112971 41



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]

Documents

MatthewsK_ManagingElectronicRecords_MO04-2971_2011-09-14 (1)