Carol Brock, CRM
School of Information
University of Texas at Austin
1616 Guadalupe St., Suite 5.202
Austin, TX 78701-1213
512-415-5434
Brockcrew3@yahoo.com
CBrock@iqgroup.com
CURRICULM VITAE
EDUCATION

Pursing a Ph.D. in Digital Preservation and Information Policy, School of Information, University
of Texas at Austin, 2009 to present.

Master of Science in Library and Information Science, University of Texas at Austin, 1986.

Bachelor of Science, Library Science/Elementary Education, University of Nebraska at Omaha,
1982.
AWARDS & FELLOWSHIPS

IMLS Doctoral Fellowship in Preservation Administration (2009 – 2012).

Co-wrote a National Historical Preservation and Research Council grant proposal to fund
preliminary work to establish the Goodwill Computer Museum’s Archive and Library funded
for 2010 for $50,000.
TEACHING EXPERIENCE

Records Management, Adjunct Faculty, The Catholic University of America, Metropolitan
College, Washington, D.C. (1996-1998).
PUBLICATIONS

Co-author, Guideline for Managing E-Mail, ARMA, Prairie Village, KS, 2000.

Co-author, Framework for the Integration of Electronic Document Management Systems and
Electronic Records Management Systems, AIIM’s C-30 Committee: ANSI/AIIM Technical
Report 48-2004. Revised and updated in 2007.
PRESENTATIONS

“DOI, Office of the CIO, $53 Million Cloud Contract to Provide a Department-wide eMail,
eRecords, eDiscovery, and Document Management System” presented to the San Antonio
ARMA Chapter, San Antonio, TX, 4/16/03.

“Who Moved My Cloud: Information Management in a New Era” (one of the conference key
note addresses), presented to the Texas Association of State Systems for Computing and
Communications Technology Education Conference, Austin, TX, 4/12/13.

“Super Bucket Scheduling: How to Manage 600 eMails and Attachments per Second,” presented
to the National Capitol AIIM Chapter, Washington, DC, 2/8/13.

“eMail Enterprise Records and Document Management System (eERDMS) Program Outline,
presented to Austin Women in Technology, Austin, TX, 1/24/13.
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
“Digital Preservation: The Next RM Challenge” presented to the Metropolitan Maryland ARMA
Chapter, Rockville, MD, 9/12/12.

Keynote: “Why E-Records Are So Challenging” presented at the National Association of
Government Archives and Records Administrators’ 2011 E-Records Forum, Austin, TX, 4/7/11.

“GAO’s Enterprise-wide Electronic Records Management: A Case Study” presented at the
Austin ARMA Chapter Meeting, Austin, TX, 1/11/11.

“Building Communities: Creating a Documentation Model for the Austin Historic Architecture
Web-Based Resource” by Carol Brock, April Norris, and Kathryn Pierce, paper presented at the
Engaging Preservation Of Cultural Heritage Student Symposium, Austin, TX, 9/25/10.

DC 2010: Archives & Records, The Society of American Archivists Annual Conference,
Washington, D.C., 8/10-16/2010. Poster presented “Building Communities: Creating a
Documentation Model for the Austin Historic Architecture Web-Based Resource”.

Annual Archival Education and Research Institute (AERI), University of Michigan, Ann Arbor,
6/20-25/10. Poster presented with April Norris and Kathryn Pierce, “Building Communities:
Creating a Documentation Model for the Austin Historic Architecture Web-Based Resource”.

Presented invited expert testimony on behalf of ARMA, International before the Subcommittee
on Information Policy, Census, and National Archives of the House Committee on Oversight and
Government Reform on “Federal Electronic Records Management: A Status Report”, 6/17/10.

“Big Bucket Retention Schedules to Enable an Enterprise-wide Electronic Recordkeeping
System: A Case Study” presented at the Electronic Records Conference for Texas State
Government and Universities, Austin, TX, 11/6/09.

“Taking Big Buckets from a Great Idea to a Successful Implementation: The Rest of the Story”
presented with Cheryl Smith /NetSmith, Inc. at the annual Managing Electronic Records
Conference, Cohasset & Associates, 5/19/09.

“How to Develop a Big-Bucket Retention Schedule” presented at the Potomac Forum, Ltd., ERM
in Government Training Workshop, 3/19/09.

“How to Develop Big-Bucket Retention Schedules” presented with Cheryl Smith/NetSmith, Inc.
at the Annual ARMA International Conference, 10/21/08.

“GAO’s Enterprise-wide Electronic Records Management System” presented with Cheryl
Smith/NetSmith, Inc., at AIIM’s National Capital Chapter, 2/13/08.

“GAO’s Electronic Records Management System” presented at the National Archives & Records
Administration Conference in Austin, TX, spring 2008.

“GAO’s Enterprise Records Management System” presented with Cheryl Smith/NetSmith, Inc. at
the Annual ARMA International Conference, 10/9/07.

“Electronic Records Management System: Case Study” at the National Archives’ RACO West
Conference, 9/18/07.
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
“GAO’s Electronic Records Management System” for the Open Text 5th Annual User’s Group
Meeting, 5/2/07.

“Case Study on the U.S. GAO’s Electronic Records Management System” at the Gilbane
Conference on Content Management Technologies, 6/15/06.

“One Year Later – Update on GAO’s Implementation of its Electronic Document
Management/Electronic Records Management System Program” at the Conference on Electronic
Records Management – Integrating Programs, 6/6/06.

“Success and Innovation in Electronic Content Management: A Case Study” for the Department
of Energy’s 28th Annual Information Management Conference, 3/23/06.

“Electronic Content Management Case Study: GAO’s Electronic Records Management System”
for the AIIM National Capital Chapter, 10/13/05.

“Making GAO’s Electronic Document Management/Electronic Records Management System
Non-Intrusive on Desktop End Users” at the Conference on Creating Electronic Records
Management within Electronic Content Management Systems, 6/14/05.

“Streamlined Business Processes” at AIIM’s Content Management Seminar, 3/16/05.

“GAO’s Electronic Records Management System” with Peter Espada/GAO for the ARMA
Northern Virginia Chapter, 2/16/05.

“Electronic Records Management System at GAO” at the Hummingbird Summit, 2/8/05.

“Streamlined Business Processes” for the Hummingbird Education Forum for the Federal
Government, 10/13/04.
PROFESSIONAL MEMBERSHIPS

Society of American Archivists, member (2009-present)

Society of Southwest Archivists, member (2013-present)

Federal Information and Records Manager's (FIRM) Council, founding member and Chair (19992003), Board Member (1999-present)

ARMA, International, member (1989-present)
o
ARMA, Gaithersburg, MD Chapter, Founding Member and Charter Chapter Secretary
(1989-1990); Membership Director (1990-1991); Vice President (1991-1992); President
(1992-1993); and Immediate Past President (1993-1995)
o
ARMA, Northern Virginia Chapter, member (1995-2009)
o
ARMA, Austin Texas Chapter, member (2009-present)

Institute of Certified Records Managers, Certified Records Manager (1991-present)

Association for Information and Image Management (AIIM), member (1988-present)
o
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AIIM’s National Capitol Chapter, Vice President of Government Affairs (2008-2009)
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o

AIIM’s C-30 Standards Committee: Developing an Integrated Electronic Records
Management and Electronic Document Management Functional Requirements (20022007)
American Council for Technology: Industry Action Committee: Board Member (2008-2009)
PROFESSIONAL SERVICE

New ARMA certification: Certified Information Governance Professionals (intended for C-Level
executives), wrote certification exam questions, ARMA HQ, Overland Park, KS, 11/28-30/12.
RECENT AWARDS



GAO’s Meritorious Service Award, 2008
GAO’s Agency-wide Team-Work Award, 2008
National Archives’ Archivist’s Outstanding Achievement in Records Management Award to
GAO, 2007
EMPLOYMENT HISTORY
IQ Business Group, Washington, D.C. (2010 to the present) Records and Information Management
Subject Matter Expert/Consultant.

For the U.S. Department of Interior, we are providing a single cohesive integrated information
governance platform designed to support and manage 120,000 employee’s records, content, and
information in a secure cloud. I lead the eMail, Electronic Records and Document Management
System (eERDMS) efforts for records and information management system policy, procedures,
and processes.
o
Coordinating with the DOI’s Solicitor’s Office, Department of Justice, and Jason Baron
of the National Archives on creating a legally-defensible program using autoclassification to determine record retention periods and to support e-discovery and early
case assessment.
o
Created simplified, functional records schedules by combining the records schedules of
all 14 Bureaus and Offices (200+ schedules with 2,330 retention periods), cross-walking
the schedules to selected items from the Office of Management and Budget’s Federal
Enterprise Architecture’s Lines of Business, and producing one new schedule with 38
lines of business and 102 disposition rules.
o
Trained the auto-classification system using the new Department Retention Schedule’s
lines of business for classifying emails as they are ingested into the Electronic E-mail
Archive (77M as of 3/1/13). Trained the Bureau Records Officers to use the autoclassification system. Highlight as of 4/8/13: Demonstrated our system to the
National Archives leadership, who want us to share our system/program with the
rest of the Federal government as a best practice.
o
Created Task Forces and Work Groups of Bureau Records Officers to address the policy,
operations, and procedural changes necessary to move the Department into compliance
with the November 2011 Presidential Memorandum “Managing Government Records
Directive (M-12-18)”, the NARA/OMB implementing Directive (8/24/12); and the DOI
Secretarial Order 3309.
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
o
Drafted the Privacy Impact Assessment for the Electronic E-mail Archive system.
o
Led the efforts to rewrite the Department Manual – Records Management Guidance, Part
380, to reflect the new electronic records paradigm and consolidated information
management functions.
For the United States Architect of the Capital, United States Federal Home Loan Bank, and the
Department of Justice’s Executive Office of United States Attorneys, developed simplified
functional records retention schedules, provided program advice, and developed records and
information management guidance.
Institute of Museum and Library Services Research Fellowship, School of Information, University of
Texas at Austin, Austin, TX. (2009 to 2012).
U.S. Government Accountability Office (GAO), Washington, D.C. (2002-2009) Information Assets
Director, Records Officer, & Deputy Privacy Officer. GS 15. Top Secret clearance.

Developed, implemented, and maintained a concrete vision and long-term strategic plan for
maintaining and preserving essential information and implemented this vision through policy,
budget, strategies and business planning, and matrix-managed initiatives.

Provided strategic leadership and guidance for the development and implementation of a
comprehensive information assets program. Planned, developed, and executed unit programs and
operations. Ensured information asset management complies with all relevant legal and statutory
requirements and with the Agency’s overall risk assessment strategy.

Provided strategic leadership in the development and implementation of a mixed- media (focused
on digital) records management (RM) program (data, databases, photo images, scanned content)
and conversion and retention strategies.

Provided oversight and direction to the Agency's RM Program, Privacy Program, History
Program, Directives Program, and Forms Management Program; led and supervised 6 staff
including the interviewing, selecting, hiring, tasking, counseling, developing, promoting,
disciplining, and releasing of staff.

Led agency initiatives related to document management, content management, records
management, archival retention, and historical preservation. Maintained active liaisons with
National Archives and Records Administration (NARA) and information professional
organizations and colleagues to coordinate specific agency and inter-organizational actions.

Led a simplified Records Retention Schedules Pilot Program for NARA, 2006-2007.

Designed and created a model enterprise-wide Electronic Records Management System (ERMS),
one of the first in the Federal government. Directed the ERMS system development, policy,
workgroups, tasks forces, a community of practice, a blog, training, briefings, and brought the
project in on time and at budget. NARA often uses GAO’s ERMS as the model for other federal
agencies to emulate. I have demonstrated this system to 45 agencies and given numerous
professional presentations on this initiative.

Awarded the 2007 National Archives’ Archivist's Annual Outstanding Achievement in Records
Management Award to GAO for the Enterprise Electronic Recordkeeping System and the
Simplified Retention Schedules.
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
Managed RM support-services contracts valued at $1.4 million (directed work of 25 contract
staff) and the $3 million ERMS budget.
Overseas Private Investment Corporation (OPIC), Washington, D.C. (1992-2002) Agency Records
Officer, GS 13 (1996-2002); originally hired as a consultant to create and implement the Records
Management (RM) Program (1992-1996).
Labat-Anderson, Inc. (a Records and Information Management Consulting Firm), McLean, VA (19871991). Assignments included:

Senior Records Analyst on a project for the Nuclear Regulatory Commission: supported an
initiative to create a full-text and image database to manage 50 million pages of evidence to
support the discovery process for a Department of Energy application (Yucca Mountain)
(11/1990-12/1991).

Project Manager on a project for the Environmental Protection Agency (EPA) Office of Solid
Waste and Emergency Response: established an integrated RM Program Plan (9/1991-12/1991).

Contract Manger for the Department of State's Foreign Service Institute's Library (7/199812/1991).

Project Manager for a RM Project at Fairchild Air Force Base, Spokane, WA: created a
Superfund Site Administrative Record (8/1990-5/1991).

Project Leader for the National Park Service's Office of Information Technology: developed a
Library Service Five-Year Plan (10/1990-3/1991).

Program Director on a contract to provide information services to the EPA's Information
Management and Services Branch: recruited, trained, and managed all activities of 35 records
managers in seven regions and headquarters to provide support for EPA's Superfund Records
Program (11/1998-10/1990).

Records Manager on project to manage trade secret and confidential business information for
EPA's Office of Solid Waste and Emergency Response (7/1998-5/1990).

Head Librarian at EPA’s Office of Solid Waste's Resource Conservation and Recovery Unit
Docket (11/1987-10/1998).
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