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Providing some basic information about electronic records management in a Federal Government context
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2. What are the problems
2
Massive Volume of e-Records
Increases by 30% per annum
Volume of unnecessary e-Records
30-60% of all stored documents are copies
The problem of authenticity and integrity
The problem of migration
The problem of searchability, findability, and retrievability
3. 3
Topics To Be Considered
How to find eRecords in your organization.
Essential factors necessary to correctly manage eRecords.
Functional requirements needed to implement of a feasible eRecords
solution.
The benefits and consequences of applying eRecords
management.
How to achieve eRecords management that will have sustainable
results.
Information and tools that can be applied immediately.
4. Defining Some Terms We Will Be Using
4
What are Records?
What are E Records?
What is Records Management?
What is ESI?
What are Information Systems?
5. What is a Record?
5
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 orin 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)
6. What are Records?
6
A record is information created, received, and maintained as
evidence and information by an organization or person, in pursuance
of legal obligations or in the transaction of business.ISO 15489
The International Records Management Standards
Data or information that has been fixed on some medium; that has
content, context, and structure; and that is used as an extension
of human memory or to demonstrate accountability.
A Glossary of Archival and Records Terminology,Society of American
Archivists.
7. What are Electronic Records, cont
7
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
8. HOW TO IDENTIFY RECORDS
8
If you answer yes to any question below, you may have a
record:
Was it created in the course of business? (i.e., correspondence,
agreements,
studies)
Was it received for action? (i.e., FOIA requests, controlled
correspondence)
Does it document activities and actions? (i.e., calendars,
meetingminutes, project reports)
Is it mandated by statute or regulation? (i.e., administrative
records, dockets)
Does it support financial obligations or legal claims? (i.e.,
grants, contracts,
litigation case files
Does it communicate requirements? (i.e., guidance documents,
policies,
Procedures)
9. HOW TO IDENTIFY RECORDS, cont
9
If you answer yes to any of these questions, you may have a
non-record:
Is it reference material? (i.e., vendor catalogs, phone books,
technical journals)
Is it a convenience copy? (i.e., duplicate copies of correspondence
ordirectives)
Is it a stock copy? (i.e., USAID publications or forms)
Is it a draft or working paper? (i.e., draft with no substantive
comments, rough notes,calculations)
Note: Some drafts are needed to support the decision trail or are
required by a
records schedule.
If you answer yes to this question, you may have a personal
paper:
Is it only related to your own affairs? (i.e., soccer schedule, PTA
roster)
Note: Personal planners and calendars may actually be records if
they
documentactivities.
10. What is Records Management?
10
Records Management (RM) is the intentional management of all
records, regardless of whether they are paper or electronic,
created in the course of business activities as an institutional
asset for legal, fiscal, administrative or historical purposes
through the records' entire life cycle.
Electronic Records Management (ERM) applies the same principles in
an electronic environment.A successful RM program must now address
both paper and electronic records.
11. What is Electronic Records Management
11
ISO standard 15489: 2001 defines Records Management (RM) as the
field of management responsible for the efficient and systematic
control of the creation, receipt, maintenance, use and disposition
of records, including the processes for capturing and maintaining
evidence of and information about business activities and
transactions in the form of records.AIIM expands this definition to
include records of all types including those maintained in
electronic format.
12. 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
13. What are Information Systems?
13
There are many types of Information Systems in use in the average
work environment, but what are Information Systems?
The term Information Systems (IS) refers to the interaction between
processes and technology. This interaction can occur within or
across organizational boundaries. An information system is not only
the technology an organization uses, but also the way in which the
organizations interact with the technology and the way in which the
technology works with the organizations business processes.
14. According to Wikipedia
14
The Information System consists of four parts which include:
procedures, software, hardware, and information or data, which are
essentially the same. There are various types of information
systems, for example: transaction processing systems, office
systems, decision support systems, knowledge management systems,
database management systems, and office information systems.
Critical to most information systems are information technologies,
which are typically designed to enable humans to perform tasks for
which the human brain may find very challenging, such as: handling
large amounts of information, performing complex calculations, and
controlling many simultaneous processes.
15. E Records May Be Found on Any Device That Can Store ESI
15
ESI is Electronically Stored Information, and some of this
information may well be eRecords or Electronic Records
According to the Federal Rules of Civil Procedures ESI is
explicitly defined as a category of information.The rule (Rule 26a)
explicitly defines ESI as a specific category of information to be
disclosed.There is no longer any ambiguity about whether digital
data constitutes a document.
16. Where are the eRecords in your organization?
16
I am preparing this presentation on a day when our city is
experiencing a major snow storm.Imagine having to go out and look
through all that snow for a very costly gold ring that you dropped
out there in the snow about four hours ago when the snow was about
10 inches.The snow has reached 20 inches and you plowed a driveway
about 30 feet in length, cleaned two cars, and plowed snow around
the perimeter of the house as well.Where do you begin?What are some
things to consider as one plows through all the information housed
in their organization?
17. We need to consider the fact that Electronic Records are house
on various type of media
17
18. What are the various types of media which store Electronic
Records
18
E mails
Information Systems
Databases
Back up Tapes
Films and Photos
Hard drives
Disk
Micro-fiche
Word, Excel, Power Points, etc
Web Sites, Web 2.0 Apps
Cell Phones
Voice Mails
Text Messages
19. Where are the Electronic Records
19
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
20. What do we need to consider if we are going effectively manage
Electronic Records
20
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 work flow
21. Records Lifecycle
21
Permanent
Permanent:
To Archives
(1
3%)
to Archives
Creation/
Maintenance
Creation/
Maintenance
Disposition
Disposition
Receipt
and Use
Receipt
and Use
Temporary:
Destroyed
22. Records Management and Electronic Discovery (E-Discovery)
22
The process in brief: E-Discovery is a legal process and it
involves:
Discovery - party seeks information from other parties to
"discover" facts related to claims or defenses.
Scope of Discovery- all relevant information, not just
records.
Preservation disposition suspended when litigation, reasonably
anticipated litigation, court ordered preservation, or other
investigative processes.
23. Electronic Discovery Reference Model
23
24. Functional requirements needed to implement a feasible eRecords
solution
24
Functional Requirements RMA: (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
25. The Benefits Of Implementing An Electronic Records
Application
25
Efficiency
Compliancy
Reliability
Authenticity
E-Discovery
Scalability
Flexibility
Cost benefits
Space benefits
Technological enhancements
26. The Consequences of Implementing An Electronic Records
Application
26
The challenge of usability and or adaptability
The potential of little or no cost saving over time
The possibility that the system may not meet the organizations
requirements
The potential for system malfunction
The failure of vendor to measure up to expectations
27. Challenges in the Preservation of Electronic Records
27
Digital preservation:
Digital information posses a whole new set of dynamics vastly
different than encountered with paper preservation
The technical problems associated with the preservation of digital
information are in some ways more complex
But also it must be noted that we have managerial problems
... the planning, resource allocation, and application of
preservation methods and technologies to ensure that digital
information of continuing value remains accessible and usable -
Margaret Hedstrom (1998)
The challenge of managing electronic records globally
The challenge of managing electronic records in an environment of
constant change
28. What are the challenges associated with the Management of
Electronic Records
28
Management of Classified information
Solutions for handling large volumes of email
Long-term storage formats for electronic records and transfer to
offline storage facilities
Records management of Web sites
Archiving of collaboration events, web 2.0
Effectiveness of auto-categorization tools
Integration with Secure Channel
Integration of structured data systems
29. How To Achieve Electronic Records Management That Will Have
Sustainable Results
29
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
30. 30
What About the National Archives and Records Administration
(NARA)?
31. NARAs Vision
31
1. We will be a leader in innovation in electronic records
archiving.
2. In coordination with our Federal partners we will develop policy
and technical guidance to enable responsible electronic records
creation and management.
3. With help from our research partners, we will develop and
maintain the technical capability to capture, preserve, describe,
access and appropriately dispose of any government electronic
record.
4. We will manage a coherent, nationwide, and sustainable system
for permanent electronic records of the Federal Government.
32. NARAs Strategic Goals
32
To be sure essential evidence will be created, identified,
appropriately scheduled, and managed for as long as needed.
2. To be certain essential evidence will be easy to access
regardless of where it is or where users are for as long as
needed.
3. To be sure all records will be preserved in an appropriate
environment for use as long as needed.
4. NARA's is committed to incorporating capabilities for making
changes necessary to realize their vision will continuously
expanded.
33. NARAs Commitment to their Customers
33
Store electronic records for producers and provide access and other
services they require for specified periods of time
Bring electronic records into the National Archives and the
Presidential Libraries, preserve them and provide access,
respecting legal restrictions, forever
Help customers discover and access holdings
Provide authentic copies of electronic records which will support
exercise of property and other rights and hold up in court, if
needed.
Guide and assist federal agencies in lifecycle management of their
records
Support the transition to e-government
34. NARAs Electronic Records Challenge
34
Diversity
Complexity
Open-ended Growth
Obsolescence
Continuing change
Durability
35. NARAs Solution
35
To the challenges of Electronic Records:
ERA = Electronic Records Archives
36. The Wave of the Future
36
37. In Summary
37
Use the recordkeeping system consistently and in the normal course
of business,
Develop and follow written policies and procedures,
Provide training and support,
Develop an adequate system of controls,
Develop and implement system audit trails,
Conduct routine tests of system performance,
Test and document the reliability of hardware and software,
Provide adequate security,
Establish controls for accuracy and timeliness of input and output,
and
Create, maintain, and retain comprehensive system
documentation.
Many of the measures recommended for good systems design, system
maintenance, and electronic recordkeeping also enhance the quality
of electronic records as legal evidence.
38. Q
&
Q U E S T I O N S
A N S W E R S
A
38
39. 39
40. Thank You
40
Presenter:Ken Matthews, ERM ProgramManager
Organization:USAID
Contact Information:[email protected]
Twitter: chapkenmat
Blog:
http://concerningelectronicrecordmanagement.blogspot.com