E. Bryan - Governance and Records Management [BARIM Information Session]

8/9/2019 E. Bryan - Governance and Records Management [BARIM Information Session]

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Educational SessionEducational Session

Governance &Governance &ecor s anagemenecor s anagemen

Emerson O. St. G. BryanEmerson O. St. G. BryanInformation and Document Management OfficerInformation and Document Management Officer

Caribbean Regional Negotiating Machinery (CRNM)Caribbean Regional Negotiating Machinery (CRNM)

2008 February 272008 February 27


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Session Outline:Session Outline:

First Things, FirstFirst Things, First

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Using Records to repel CorruptionUsing Records to repel Corruption

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How can poor recordkeeping affectHow can poor recordkeeping affect

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Notable examples of information mismanagement:

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EnronEnron--Arthur Anderson (US)Arthur Anderson (US)

Cuban Light Bulb Scandal & Sandals Whitehouse (Jamaica)Cuban Light Bulb Scandal & Sandals Whitehouse (Jamaica)

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ABC Highway & Hardwood Situations (Barbados)ABC Highway & Hardwood Situations (Barbados)

Piarco International Airport (Trinidad & Tobago)Piarco International Airport (Trinidad & Tobago)

Missing Millions Scandal (Belize)Missing Millions Scandal (Belize)

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n gua ar u a, e ze, ama ca, . ncen eGrenadines, and Trinidad & Tobago)Grenadines, and Trinidad & Tobago)


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RecordRecord

Can be defined as "Information created, received andmaintained as evidence and information by an organization or

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io person, n pursuance o ega o ga ons or n e ransac on obusiness". (ISO 15489-1, 2001)

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All recorded information, regardless of media or physicalcharacteristics, made or received and maintained by anorganization or institution in pursuance of its legal obligations

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or n t e transact on o ts us ness. n mac ne-rea a erecords/ archives, two or more data fields in predeterminedorder and treated as a unit. (International Council on Archives

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1993

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What is a Record?What is a Record?

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Records are

recorded

information giving

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ev ence, an

serving some kind of

purpose, regardless

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characteristics.


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Record Life Cycle ConceptRecord Life Cycle Concept

Records areRecords are currentcurrentfrom their creation and for as long asfrom their creation and for as long astheir administrative value remains at its highest. Aftertheir administrative value remains at its highest. After

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iow yw y -- wwadministrative value declines and references to themadministrative value declines and references to them

become irregular and less frequent. When a record hasbecome irregular and less frequent. When a record has

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ceased to have any administrative value at all it isceased to have any administrative value at all it is nonnon--currentcurrentafter which it reaches theafter which it reaches the dispositiondispositionstage, wherestage, where

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consistent with the archives policy, placed for permanentconsistent with the archives policy, placed for permanentpreservation in the archives. This is known as thepreservation in the archives. This is known as the RecordsRecords

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Records Life CycleRecords Life Cycle

Diagram illustratingDiagram illustrating

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Anatomy of a RecordAnatomy of a Record

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ioBasic

Principles ofContent

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ManagementanagementContext

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Anatomy of a RecordAnatomy of a Record

ContentContentis what the record sa s.is what the record sa s.

StructureStructurerelates to both the appearance and arrangement of the contentrelates to both the appearance and arrangement of the content(for example, the layout, fonts, page and paragraph breaks, tables, graphs,(for example, the layout, fonts, page and paragraph breaks, tables, graphs,

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iocharts and so on) and the relationship of the record to other related recordscharts and so on) and the relationship of the record to other related recordsin the system (i.e. the links). This includes structural information about thein the system (i.e. the links). This includes structural information about the

application software used to create the records content and informationapplication software used to create the records content and informationabout the system (the platform, hardware and so on) that manages the linksabout the system (the platform, hardware and so on) that manages the links

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between records.between records.

ContextContextis the background information that helps explain the meaning ofis the background information that helps explain the meaning of

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the document. This includes two types of information. Firstly, there isthe document. This includes two types of information. Firstly, there isinformation that identifies the particular document, such as the title, authorinformation that identifies the particular document, such as the title, authorand date of creation. Secondly, there is information about the creator andand date of creation. Secondly, there is information about the creator andthe purpose of creation, for instance, the nature of the business function orthe purpose of creation, for instance, the nature of the business function or

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What is Records Management?What is Records Management?

field of managementfield of management

responsible for theresponsible for theResponsibility of management

efficient andefficient and

systematic control ofsystematic control ofthe creation, receipt,the creation, receipt,

Sense of order

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ma n enance, use anma n enance, use an

disposition of records,disposition of records,

including processes forincluding processes for

Full lifecycle

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maintaining evidencemaintaining evidence

of and informationof and information Evidence needs to be credible

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activities andactivities and

transactions in thetransactions in the

form of recordsform of recordsRecords

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International Records ManagementInternational Records Management

The International Organization for Standardization (ISO),The International Organization for Standardization (ISO),

officially launched theofficially launched the International Standard on RecordsInternational Standard on RecordsManagement, ISO 15489Management, ISO 15489, on October 2001. This Standard,, on October 2001. This Standard,

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international standard, the groundbreaking Australianinternational standard, the groundbreaking AustralianStandard AS 4390Standard AS 4390--1996: Records Management promulgates1996: Records Management promulgatesinternational best practice records management.international best practice records management.

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ISO 15489 comprises ofISO 15489 comprises oftwotwo parts:parts:

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ISO 15489.1 Records Management - Part 1: General,

ISO 15489.2 Records Management - Part 2:Guidelines.

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AS4390:1AS4390:1--66


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Records management and recordkeep ng has to be seenRecords management and recordkeep ng has to be seen

as part of the broader Public Sector Reform agenda,as part of the broader Public Sector Reform agenda,and should not be treated as a se arate entit .and should not be treated as a se arate entit .

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ahr K undeh 2002ahr K undeh 2002

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alS Governance and AntiGovernance and Anti--corruption Specialistcorruption Specialist

World Bank InstituteWorld Bank Institute

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Corruption?Corruption?

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Definition:Definition:

CorruptionCorruption

II behavior on the art of officials in the ublic sector whether behavior on the art of officials in the ublic sector whether

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politicians or civil servants, in which they improperly andpoliticians or civil servants, in which they improperly and

unlawfully enrich themselves, or those close to them, by the misuseunlawfully enrich themselves, or those close to them, by the misuseof the ublic ower entrusted to them. This would includeof the ublic ower entrusted to them. This would include

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embezzlement of funds, theft of corporate or public property asembezzlement of funds, theft of corporate or public property as

well as corrupt practices such as bribery, extortion or influencewell as corrupt practices such as bribery, extortion or influence

eddlin .eddlin .

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Transparency International (TI)Transparency International (TI)

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Definitions contdDefinitions contd

CorruptionCorruption

II.II. The promise, offering or giving to a public official, directly orThe promise, offering or giving to a public official, directly or

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n rect y, o an un ue a vantage, or t e o c a mse or n rect y, o an un ue a vantage, or t e o c a mse or herself or another person or entity, in order that the official act orherself or another person or entity, in order that the official act or

refrain from acting in the exercise of his or her official duties;refrain from acting in the exercise of his or her official duties;

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alS The solicitation or acceptance by a public official, directly orThe solicitation or acceptance by a public official, directly or

indirectly, of an undue advantage, for the official himself orindirectly, of an undue advantage, for the official himself or

herself or another erson or entit in order that the official act orherself or another erson or entit in order that the official act or

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refrain from acting in the exercise of his or her official duties.refrain from acting in the exercise of his or her official duties.Article 8 of the Convention against Transnational OrganizedArticle 8 of the Convention against Transnational OrganizedCrimeCrime

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Good GovernanceGood Governance

""

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,,enlightened policyenlightened policy--making, a bureaucracy imbued with amaking, a bureaucracy imbued with a

professional ethos acting in furtherance of the public good,professional ethos acting in furtherance of the public good,

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, ,, ,society participating in public affairs. Poor governance (onsociety participating in public affairs. Poor governance (onthe other hand) is characterized by arbitrary policy making,the other hand) is characterized by arbitrary policy making,

unaccountable bureaucracies unenforced or un ust le alunaccountable bureaucracies unenforced or un ust le al

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systems, the abuse of executive power, a civil societysystems, the abuse of executive power, a civil societyunengaged in public life, and widespread corruption."unengaged in public life, and widespread corruption."(World Bank,2006)(World Bank,2006)

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repel Corruptionrepel Corruption

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InformationInformation

In ormat on s cr t cal n governance. It s through tIn ormat on s cr t cal n governance. It s through t

that the government relates with the public. It is thusthat the government relates with the public. It is thusa brid e between the overnment and the eo le.a brid e between the overnment and the eo le.

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Charles Nandain 2006Charles Nandain 2006

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alS Head, ICT, Library and Coordinator of Makerere UniversityHead, ICT, Library and Coordinator of Makerere University

KenyaKenya

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InformationInformation

Information as Power to the citizenryInformation as Power to the citizenry

Access to information via publishing of government informationAccess to information via publishing of government information

builds accountability and inclusivenessbuilds accountability and inclusiveness

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a e mon or ng o n orma ona e mon or ng o n orma on

PAC Sittings, Commissions of Enquiry etc.PAC Sittings, Commissions of Enquiry etc.

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MIS as an Administrative tool in GovernmentMIS as an Administrative tool in Government

Used to monitor routine functions and processes to determineUsed to monitor routine functions and processes to determine

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per ormance an orecast ng per ormance an orecast ng

Integrity LegislationIntegrity Legislation

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Access to Information/ Freedom ofAccess to Information/ Freedom of

These laws are currently within five (5) countries ofThese laws are currently within five (5) countries ofthe Caribbean Region:the Caribbean Region:

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Freedom of Information Act (2000) - Belize

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ree om o n ormat on ct - r n a o ago

Access to Information (2002) Act Jamaica

Freedom of Information (2003) - St. Vincent & the Grenadines

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Freedom of Information (2004) Antigua & Barbuda

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How will these types oflegislation affect RecordsManagement?

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Access to Information/ Freedom ofAccess to Information/ Freedom of

people managing information are that they must:people managing information are that they must:--

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select all types of appropriate media to service the information

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nee s o t e organ zat on;

assist and co-operate with other staff members within theorganization who maintain personal or divisional information files

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or retr eva systems;

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Poor people around the world su er da ly becausePoor people around the world su er da ly because

systems for creating, organizing, disseminating, andsystems for creating, organizing, disseminating, andreservin accurate and reliable official informationreservin accurate and reliable official information

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to manage in an electronic environment.to manage in an electronic environment.

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EvidencedEvidenced--based Governance in the Electronic A e Pro ectbased Governance in the Electronic A e Pro ect

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World Bank/ International Records Management TrustWorld Bank/ International Records Management Trust

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Most of us keepMost of us keep RECORDSRECORDS

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our a aour a ainformation oninformation on

computercomputer

STANDARDSSTANDARDS

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,,therefore, wetherefore, wemust ensure thatmust ensure that

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,,accessaccess andand sharesharethem.them.

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Use of TechnologyUse of Technology

Most of todaysMost of todaysrecords start outrecords start outin electronic formin electronic form

Letters

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Faxes

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Other transactions

etc...

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Formats of recordFormats of record

ElectronicElectronic

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PhysicalPhysical

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Electronic MailElectronic Mail

Email is a source of risk exposureEmail is a source of risk exposure

Br ant Duhon Editor AIIM EBr ant Duhon Editor AIIM E--Doc Ma azineDoc Ma azine

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The cost of eDiscovery is often enough to cause a company to settleThe cost of eDiscovery is often enough to cause a company to settle

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rather than undergo the financial expenses and loss of productivityrather than undergo the financial expenses and loss of productivityinvolved in this process.involved in this process.

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Some Standards that address ESome Standards that address E--Mail:Mail:

DoD: 5015.2 section C2.2.4 Electronic Mail requirements for ERMS

ISO: 15489 clause 9 RM rocesses and controls for ERMS

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MetadataMetadata

Metadata is data about data or data concerningMetadata is data about data or data concerning

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a a c arac er s cs an re a ons ps o ana a c arac er s cs an re a ons ps o anCoronel, 1995)Coronel, 1995)

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alS Metadata is a relatively new notion for the archival and recordsMetadata is a relatively new notion for the archival and records

profession. Interest in metadata stems from the realisation thatprofession. Interest in metadata stems from the realisation that

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information to enable future users to fully understand theinformation to enable future users to fully understand therecord. Metadata is an attempt to capture this information in arecord. Metadata is an attempt to capture this information in as stematic and structured manner that can be stored ins stematic and structured manner that can be stored in

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Metadata may be categorized as:Metadata may be categorized as:

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Descriptive:Descriptive: information describing the contentinformation describing the content

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Structural:Structural: information that ties items, such as pages in a book, orinformation that ties items, such as pages in a book, ordocuments in case folderdocuments in case folder

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Administrative:Administrative: information used to manage and control accessinformation used to manage and control access

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An example of Metadata:

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An example of Metadata:

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Electronic RecordsElectronic Records

Electronic records and information should alsoElectronic records and information should alsoconform to the following basic RM principles:conform to the following basic RM principles:

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AuthenticityAuthenticity record can be proven

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ReliabilityReliability record can be trusted

IntegrityIntegrity record is complete and unaltered

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sa ysa y recor can e oca e , re r eve , presen e aninterpreted.

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See: ISO: 15489-1:2001, section:7.2


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Benefits of Good RecordkeepingBenefits of Good Recordkeeping

he benefits of goods records are many, but usually it results in:he benefits of goods records are many, but usually it results in:

increase efficienc and roductivit ;increase efficienc and roductivit ;

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protect the organization from litigation;protect the organization from litigation;

evidence of transactions/ events for audit purposes;evidence of transactions/ events for audit purposes;

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reserva on o e ns u ona memory o e organ za on; reserva on o e ns u ona memory o e organ za on;

facilitation of the resumption of operations in the event of a disaster; andfacilitation of the resumption of operations in the event of a disaster; and

ensuring that employee benefits can be supported via informationensuring that employee benefits can be supported via information

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ma nta ne n persona recor sma nta ne n persona recor s..

Government and organizations being accountable to their constituencyGovernment and organizations being accountable to their constituency

and stakeholders.and stakeholders.

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GoodGoodalS

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Luck!Luck!atio

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Any Questions?Any Questions?

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Want to know moreWant to know more

About Records?:About Records?:

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ssio http://www.lorsonresources.com/seminar1.asphttp://www.lorsonresources.com/seminar1.asp

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ContactContact::

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merson . ryanmerson . [email protected]@gmail.com

Tel: +1246 430 1677 Fax: +1246 228 9528Tel: +1246 430 1677 Fax: +1246 228 9528

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Documents

E. Bryan - Governance and Records Management [BARIM Information Session]