Records Management

1

• Session V
• Records Management
• Process Development

2
Electronic Record Life Cycle

• Create and Save
• Distribution and Use
• Maintenance
• Disposition

3
Creation and Storage

• Electronic files are created in applications.
• The file is created when it is saved with a
  filename and stored on a computer drive.
• Folder structure
• Broad and shallow
• Use meaningful names
• Filenamesuse meaningful names
• gt Organization / dept. naming standards

4
Use and Distribution

• Electronic documents distribution
• printed and sent through regular mail
• attached to an e-mail
• available on the organizations intranet
• available on shared drive on the LAN
• published on Websites / blogs
• Security privacy problems

5
Maintenance

• Electronic files are maintained through
• Move
• Copy
• Back up
• Restore
• Synchronization problems
• PC and mobile devices (PDA / phone)
• Home / office / laptop PC
• PC and servers / web / DB / host
• Security privacy problems (again)

6
Disposition

• Electronic records disposition
• Data migration to archive
• Delete after retention period
• In the whole cycle
• Affects much general work processes
• Security privacy problems
• Organizational / departmental standard practices

7
Record Management Program Components

• Records storage
• Records retention and destruction
• Regulatory compliance
• Active records management
• Inactive records management
• Vital records protection / disaster recovery
• Meet business need / environment vs
  costs(cost-benefit analysis)

8
Records Storage

• Based on the records life cycle
• Storage supplies and equipment
• Safety, security, and environment
• Inactive records
• Records preservation
• Space conservation
• Storage costs

9
Records Retention and Destruction

• Determine which records to keep, how long to keep
  them, and how they are disposed of
• Develop a records retention schedule
• Implement the records retention schedule
  throughout the organization

10
Compliance

• Meet records retention requirements for all
  records
• Comply with local, state, and federal tax laws
• Comply with other laws such as
• HIPAA (Healthcare privacy)
• Sarbanes-Oxley Act (Accounting)
• ISO 15489 RM standard
• ISO 9000 guidelines (Quality control)

11
Active Records Management

• Three types of ongoing controls
• Cost containment
• Efficiency controls, ratios, and standards
• Performance standards

12
Cost Containment

• Assign cost figures to four cost categories
• Salaries
• Space
• Equipment
• Supplies
• Compare labor costs
• In-house storage facilities
• Offsite storage facilities
• Commercial storage facilities

13
Efficiency Controls

• Three important questions
• How much time is required to store a record?
• How much time is required to retrieve a record?
• How much time is required to find and deliver a
  requested record?

14
Efficiency Standards

• Number of misfilesabout 3 percent of total
  number of records filed
• Number of cant find recordsless than 1
  percent
• Time required to find a recordno more than 2 to
  3 minutes

15
Efficiency Ratios

• Activity ratio
• Accuracy ratio
• Retrieval efficiency ratio

16
Activity Ratio

• Measures the frequency of records use
• When ratio is below 5, transfer records below 5
  to inactive or destroy

17
Accuracy Ratio

• Measures the ability of filers to find requested
  records
• Ratio below 97, records system needs attention

18
Retrieval Efficiency Ratio

• Measures the speed with which records are found
  and verifies how filers spend time

19
Performance Standards

• Attitudes that employees bring to the job affect
  performance standards
• Areas of concern
• Poor attendance
• Excessive overtime
• Number and patterns of errors
• Slow response to assignments
• Low morale and lack of interest
• Lack of concern for budget limits
• Repeated failure to meet performance standards

20
Inactive Records Management

• By implementing and adhering to retention and
  destruction schedules, needed inactive records
  are maintained for dictated time periods.

21
Vital Records Protection

• Vital records stored on microfilm or electronic
  media are subjected to environmental, security,
  and safety controls to assure their usefulness as
  long as needed.

22
RM Program Responsibilities

• Records audit
• Records and information manual
• Correspondence, copy, and forms management
• Disaster recovery plan
• Knowledge management
• RIM software

23
Records Audit

• A periodic inspection to verify that an operation
  is in compliance with a RIM program
• Outcomes
• Information about current operations
• Analysis of current system and its needs
• Recommended solutions for improving RIM program

24
Records Information Manual

• RIM program review
• Classification system
• Storage procedures for records on all media
• Records retention schedules
• Storage locations
• Annual program evaluation or audit
• Records disposition
• Disaster preparedness and recovery plan
• RIM software summary

25
Correspondence Management

• Goal Reduce the number of records that enter the
  system and must be stored and maintained.
• gt e-mail

26
Copy Management

• Select most suitable copying methods and supplies
• Use only one or two copier models
• Calculate per-copy costs regularly
• Charge copy-making costs to departments involved

27
Forms Management

• Determine number and use of forms
• Eliminate unnecessary forms
• Standardize form size, paper quality, typefaces,
  and design features
• Ensure efficient forms design
• Establish efficient, economical procedures for
  printing, storing, and distributing forms
• gt Web forms / electronic forms

28
Forms Design

• Things a forms designer needs to know
• How the form will be used
• Types of items to be filled in and their sequence
• Size, color, and weight of paper stock to be used
• Space needed for each fill-in item
• Design guidelines

29
Disaster Recovery Plan Phases
Phases Description
Disaster prevention Take measures to reduce probability of loss resulting from an emergency
Preparedness Be prepared to respond when emergency occurs
Recovery Restore operations quickly
30
Disaster Recovery Plan Activities

• Identify preventive measures
• Initiate company-wide response
• Identify response personnel
• Estimate costs
• Provide offsite storage
• Designate alternative sites
• Establish recovery procedures
• Establish recovery priorities
• Identify sources and services
• Test the plan

31
RM link with Knowledge Management

• A field concerned with systematic, effective
  management and utilization of an organizations
  knowledge resources
• Explicit knowledgecontained in documents,
  databases, and records
• Tacit knowledgeacquired through observation,
  practice, and imitation

32
RM Software

• Used to automate manual processes in the RM
  function
• Used for a specific function of the RM program
• Used to integrate processes in the RM function
• Integration with other organization workflow

33
Policy Implementation and Enforcement

• Implement records retention program and policies
• Implement e-mail policy

34

• Questions?
• Dickson K.W. Chiu
• dicksonchiu_at_ieee.org

35
Class Discussion

• Do you have any record management process /
  standards in your organization?
• How does this affect your work?(positive and
  negative)
• How does this affect your organizations
  performance (in your view)?