Records Management - Moving Forward

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Records Management - Moving Forward

• 4-21-2005

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Agenda

• Managing the Information Lifecycle
• Roles and Responsibilities
• Records Coordinator Tasks/Profile
• Personnel Records
• Planning for annual meetings

3
Current Reality

• Electronic records not being managed well
• Amount of data being retained without business
  justification is unknown
• No comprehensive organizational system for all
  records
• No current inventory of all records including
  electronic records

4
ISO 15489 Report Card

• Policies and Procedures
• Overall Program Structure
• Classification Plan Effectiveness
• Records Security and Protection
• Active Program Effectiveness
• Inactive Program Effectiveness
• Monitoring

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The Goal
All records, not just paper organized by content
for retrieval and retention All employees
understand and implement records management
responsibilities
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Best Practices

• Keep right amount of information for right length
  of time
• Meet all legal requirements
• Control storage costs
• Demonstrate good faith through consistent
  implementation
• Protect vital records
• Produce information quickly and efficiently
• Integrate policies/procedures organization wide
• Establish ownership and accountability
• Ongoing organization-wide training
• Compliance controls

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Information Lifecycle Management

• A comprehensive approach to managing the flow of
  data and associated metadata from creation and
  initial storage to the time when it becomes
  obsolete and is deleted.
• Involves all aspects of dealing with data,
  starting with user practices.
• Enables more complex criteria for storage
  management than data age and frequency of access.

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Information Life Cycle
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Organizational Structure

• File Plan
• Detailed lists of files maintained in a
  department
• Record Series
• Categories of records with like retention periods
  used for similar functions

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Inventory

• Why
• Last records inventory done in 1991
• Need to identify electronic records
• Need to simplify retention schedule
• Outcomes
• Identify business processes of department
• Define records needed to support and document
  business processes
• Develop or refine file plan
• Group records with similar functions into record
  series based on retention requirements
• Document procedures for managing during entire
  lifecycle

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What a file plan can document

• Records created by each business process
• How records are named and filed
• Information included as part of the records
• Form information should/will be in
• Information necessary to insure authenticity
• Security and access requirements
• Optimal organizational structure
• Location where the records are stored
• Length of active and inactive phases
• What event triggers disposition
• What happens at the end of the lifecycle
  archival, destruction (confidential or normal)
• Ownership

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Business Process

• A collection of related, structured activities--a
  chain of events--that produce a specific service
  or product for a particular customer or customers
  
• Real Estate
• Working Papers FE4
• Closing Papers LA4

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A Sample Plan/Process
REO File Management

• Information Creation
• File Opened
• Record of real estate transaction created in
  database
• File number auto-assigned
• Physical file filed with active records

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A Sample Process
REO File Management

• The file plan shows
• Different ways to access a particular piece of
  information
• Provides file information
• active or inactive
• where records are stored
• vital or archival
• disposition information

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A Sample Process

• During active phase, file plan used to help
  locate information
• When file is closed, file plan used to create
  inventory list and document files in inactive
  storage
• File plan used to track disposition

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Managing the lifecycle

• File plan
• Know what is active and inactive (combination of
  retention schedule and file plan)
• Know what is stored in inactive storage
• Know what is due for destruction
• Know what has been destroyed

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Records Management Roles

• Chief Executive Officer responsible for
  establishment and oversight of records management
  program.
• Records Management Officer delegated authority
  from CEO - works with owners, administrators and
  creators of records to determine what records
  must be kept and how long to keep them.
• Custodian responsible for physically storing
  records but does not own them.

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Records Management Roles

• Owner manager of a business process or
  department.
• Administrator person responsible for
  coordinating information assets of a department
  (Records Coordinator).
• User anyone who creates, receives or uses
  records.

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Records Coordinators

• Help educate users
• Importance of managing ALL records
• Methods for managing records
• Develop departmental file plan
• Aligned with retention schedule
• Used for paper and electronic files
• Be a player in the process
• Provide suggestions and feedback
• Continue to stay informed

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Records Coordinator Profile

• Knowledge of the business processes of their
  office
• Understanding of best records management
  practices
• Continuing education in RIM
• Proactive agent for best RIM practices
• Ability to communicate with management and staff

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Records Coordinator Responsibilities

• Serve as departmental contact for records
  management
• Work with RMO to develop retention schedule
• Document file plan for office
• Train office staff on records management
  responsibilities
• Attend regular training
• Manage records disposition for office

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Records Coordinators
Are the heart of a successful records management
program!!
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Human Resources
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ARMA Brochures

• What is a Record?
• Defines importance of records
• Discusses records lifecycle
• Defines records responsibilities
• Information about writing good records
• Place to put Who to call

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ARMA Brochures

• What Do I Do with All This e-Mail?
• (How Do I know What to Save and How to File It?)
• Defines email as delivery method
• Discusses why not to save ALL email
• Discusses setting up an email filing system
• Discusses using good subject lines to assist in
  filing

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Coming Attractions

• Review of disposition process
• Annual meetings
• File plan
• Business processes
• Will provide list of questions in advance
• Retention Schedule revisions