What does the Obama Administration Records Management Directive Tell Us?

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What does the Obama Administration Records Management Directive Tell Us?

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AIIM president, John Mancini, discusses what this order tells us about future records management and compliance requirements for federal, state and local governments and for the private sector.......

AIIM president, John Mancini, discusses what this order tells us about future records management and compliance requirements for federal, state and local governments and for the private sector. What are the implications of this order? What issues do agencies need to consider in responding? What are the downstream effects on the general businesses in the short- and long-term.

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  • Iron Mountain slide
  • Iron Mountain slide
  • The capture process for electronic records has a number of basic steps. The first step is to identify what records and other information should be captured. We will describe this process in further detail in the next section of this module. Next, we need to determine where to store and manage those records that are captured. In smaller organisations this may be as simple as providing a folder on a network shared drive, though this is certainly not the ideal. For larger or more mature organisations, this will often be an electronic records management system (ERMS) or enterprise content management system (ECMS). It could even be a database management system, particularly for structured records. More formal recordkeeping systems will have a process for registering records. This provides proof that the record actually was captured, generally in the form of a unique, system-provided identifier. Next the record will most likely be classified into a classification structure of some sort. The most common structures are hierarchical and reflect either the structure of the organisation, the structure of its work processes and functions, or some other approach such as client matters. This will assist with access to, and management of, the record within the system. We will discuss classification in much more detail in Modules 4, 5, and 6. Once the record is in the system, it will generally require some level of indexing to ensure it can be found and accessed later. This may include indexing the full text of the record for text-type information such as Microsoft Word, Adobe PDF, or OCR text. It will most likely also include some combination of automatically captured and manually created metadata. Finally, the record will be assigned some level of security. This will include both access controls , or who gets access to the record at all, as well as permissions, or what users can do with the record. For most records and most users, permissions will be limited to accessing and reading the record. We will discuss security in more detail later in the course.
  • Why?Locate and describe organizational information holdingsIdentify obsolete or duplicate recordsIdentify vital and permanent recordsIdentify storage needsThe inventory should include at a minimum the following types of information: The source of the information – was it gathered from interviews and walkthroughs or through system records?Whether a particular piece of information exists in more than one format. rendition, or version, and if so, which one(s) are considered to be the copy of record. Only one should be the definitive record, but it is entirely possible during the inventory that several will be identified as such. This will be sorted out as part of the analysis. The particulars of the media – is it paper, microform, some other physical format such as core samples, physical media such as CDs, or digital? For electronic documents, the inventory should also capture file format and software characteristics – for example, Microsoft Word 2007 or Corel WordPerfect X4. And of course the physical and/or logical locations. CDs, paper, and other physical objects have physical locations; for purely digital files stored on magnetic media, the document’s physical location may be difficult to determine and so a logical location may make more sense. This will typically be a network shared drive, storage area network, network-attached storage device, or perhaps an email server.
  • Records management instruments could include all of the following: Classification schemes, including file plans and formal taxonomiesMetadata models, thesauri, and data dictionariesRecords retention and disposition scheduleSecurity classification schemePolicy and proceduresAnd even training materials. In short, anything that can be used to provide that framework, document it, and assist users in complying with it, can be considered an instrument. And as we’ll see shortly, these instruments will need to be maintained as well.
  • Understand that records can be found everywhere.Understand that for the foreseeable future, records management will be a hybrid task…Physical and electronicOn-prem and off-premBoxes and electronsUnderstand that backfile conversion can be…A thankless taskAn all-consuming taskSomething better left to experts

Transcript

  • 1. Presented January 16, 2013 What does the Obama Administration Records Management Directive Tell Us? Listen to the replay.In association with: Presented by:
  • 2. About AIIM AIIM is the Global Community of Information Professionals We provide the education, research, and certification that information professionals need to manage and share information assets in an era of mobile, social, cloud, and big data. Learn more about AIIM at www.aiim.orgIn association with: Presented by:
  • 3. About AIIM www.aiim.org/research Visit AIIM’s video library at www.aiim.org/videos With more than 100 Research/Industry watch snapshots on all things Information Management www.aiim.org/training www.aiim.org/membersonly Check out your professional member benefitsIn association with: Presented by:
  • 4. Register today at aiimconference.com
  • 5. Secure Your Success Become a Demonstrate your ability to address and manage today’s information challenges www.aiim.org/certification
  • 6. Follow AIIM on Bryant Duhon – @bduhon #aiim Jesse Wilkins – @jessewilkins #aiimwebinar Nick Inglis – @nickinglis Dave Jones – @instinctivedave #aiim13 Doug Miles – @dougmiles00 AIIM Community – @aiimcmty Theresa Resek – @tmresek AIIM Info – @aiiminfo Beth Mayhew – @bethmayhew John Mancini – @jmancini77 #ecm Atle Skjekkeland – @skjekkeland Laurence Hart – @piewords #bigdata Peggy Winton – @pwwinton #aiim13 Betsy Fanning – @bfanningIn association with: Presented by:
  • 7. AIIM Presents: What does the Obama Administration Records Management Directive Tell Us? Host: Theresa Resek – Director, AIIM Webinars John Mancini – President, AIIM Sue Trombley – Managing Director, Professional Services, Iron MountainIn association with: Presented by:
  • 8. What is in the Obama Administration Directive?  By 2019, Federal agencies will manage all permanent electronic records in an electronic format.  By 2016, Federal agencies will manage both permanent and temporary email records in an accessible electronic format.  By 11/15/2012, agencies Must Designate a Senior Agency Official (SAO). • By 12/31/2013, SAO Shall Ensure that Permanent Records are Identified for transfer and reported to NARA. • By 12/31/2014, agency Records Officers Must Obtain NARA Certificate of Federal Records Management Training. • By 12/31/2014, agencies Must Establish Records Management Training. • By 12/31/2016, SAO Shall Ensure that Records are Scheduled.In association with: Presented by:
  • 9. Key Questions How should Federal government agencies approach this challenge? What does the directive tell us about sound records management approaches in general – both in the public and the private sector?In association with: Presented by:
  • 10. Directive: Sound Approaches  Demands that RIM leadership is at the highest level of government  Establishes an occupational series to formalize roles and responsibilities  Requires establishment of formal training program  Requires certification of records officersIn association with: Presented by:
  • 11. Directive: Sound Approaches  Dictates that email must be managed in a compliant manner  Requires an understanding of the Cloud and other technologies to enable records and information management  AND electronic records will be the official records – even for permanent records to ensure transparency, efficiency, and accountabilityIn association with: Presented by:
  • 12. A Road Map: not just for Federal agencies, but for any organization 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 13. A Road Map 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 14. Capture is more than scanning  Identification  Storage  Registration  Classification  Indexing  SecurityIn association with: Presented by:
  • 15. A Road Map 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 16. Information and Records Inventory The inventory should include at a minimum the following types of information:  The source of the information  The particulars of the media  The physical and/or logical locationsIn association with: Presented by:
  • 17. Information and Records InventoryChecklist 1. Identify all departments in the organization 2. Scope and prioritize the inventory 3. Review departmental work processes 4. Review existing DM policies and procedures 5. Identify and review departmental document repositories 6. Interview targeted personnel 7. Create a list of documents for the department 8. Review the contents of organizational repositories 9. Create log of all repositories in the organization 10. Create final organization-wide inventory 11. Create process for updating inventoryIn association with: Presented by:
  • 18. A Road Map 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 19. Information Governance  Classification schemes  Metadata models and thesauri  Records retention and disposition schedule  Security classification scheme  Policy and procedures  Training materialsIn association with: Presented by:
  • 20. A Road Map 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 21. Unique Challenges of Email – and Social Content  The sheer volume involved  The informality with which they are created and forwarded  The ease with which documents can be attached  The metadata is often just as valuable as the content itself – and is lost when email is “preserved” in paper form  More than most forms of electronic information, “backup” is confused with “archive”In association with: Presented by:
  • 22. A Road Map 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 23. Strategy for Back-File Conversion  Understand that records can be found everywhere  Understand that for the foreseeable future, records management will be a hybrid task  Understand that back-file conversion can be a thankless taskIn association with: Presented by:
  • 24. A Road Map 1. Educate the organization about the basic process for capturing records 2. Conduct an information and records inventory 3. Create a structure for effective governance 4. Understand the unique challenges of email and social content 5. Decide on a strategy for back-file paper conversion 6. Develop a communication, training and change management planIn association with: Presented by:
  • 25. Checklist – Communication, Training, and Change Management Plan  Make sure of support of top management – both at the launch of a project and once the excitement is over  Involve the users and process owners early and often  Assume that what is hard is soft and what is soft is hard  Use personas to understand different stakeholder needs  Be fanatical and internal PR and communications. Treat communications like you would for external audiences  Understand that training doesn’t only occur at launch  Use AIIM training resources – ERM and CIPIn association with: Presented by:
  • 26. Training ProgramsEnhance your business and professional skills withtraining from AIIM – the industry authority.Enterprise Content Social Media SharePoint for SharePoint for ECM Collaboration Content managementManagement (ECM) Governance Best practice for SharePoint and governance withinLearn how to take control Managing social content as a collaboration platform SharePointof your information assets for benefit and complianceElectronic Records Business Process Capture Taxonomy and Learn best practices for MetadataManagement (ERM) Management (BPM) capturing and managing Organizing informationLearn how to take control Learn how to improve information for findability andof your electronic records your business processes governance www.aiim.org/training
  • 27. Secure Your Success Become a Demonstrate your ability to address and manage today’s information challenges www.aiim.org/certification
  • 28. Conclusion – Next Steps The Directive reinforces that:  Records and Information Management is strategic, not just tactical  Collaboration with key stakeholders is a fundamental requirement  People, process, and technology are partners in success  Change management cannot be ignoredIn association with: Presented by:
  • 29. Iron Mountain 29
  • 30. Questions?In association with: Presented by:
  • 31. AIIM Resources Download free studies www.aiim.org/researchIn association with: Presented by:
  • 32. Survey This survey will open in a new window. (or click here) Tell us how we did today, and offer suggestions for topics of future events.In association with: Presented by:
  • 33. Upcoming Webinars February 13th The Rise of the Information Professional: Why IT Will Never Be the Same And more webinars coming in 2013… Register Today at www.aiim.org/webinars View our library of Webinars OnDemand www.aiim.org/WebinarsOnDemandIn association with: Presented by: