Electronic Record Life Cycle: Creation, Storage, Distribution, Maintenance, and Disposition

1. Session V Records Management Process Development MLIM6204

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 Filenames—use meaningful names => 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 organization’s 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 misfiles—about 3 percent of total number of records filed Number of “can’t find” records—less than 1 percent Time required to find a record—no 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 FORMULA Number of records requested Number of records filed Activity Ratio = 500 records requested 5,000 records filed EXAMPLE = 10%

17. AccuracyRatio Measures the ability of filers to find requested records Ratio below 97%, records system needs attention FORMULA Number of records found Number of records requested Accuracy Ratio = 5,950 records found 6000 records requested EXAMPLE = 99.17%

18. Retrieval EfficiencyRatio Measures the speed with which records are found and verifies how filers spend time Time to locate records Number of records retrieved RetrievalEfficiencyRatio FORMULA = 60 minutes 80 records retrieved EXAMPLE = 75%

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. => 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 => 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

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 organization’s knowledge resources Explicit knowledge—contained in documents, databases, and records Tacit knowledge—acquired 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@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 organization’s performance (in your view)?