Records Management - Moving Forward

1. Records Management - Moving Forward 4-21-2005

2. 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

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

6. 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

7. 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.

8. Information Life Cycle

9. 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

10. 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

11. 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

12. 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 – FE+4 • Closing Papers – LA+4

13. A Sample Plan/Process • Information Creation • File Opened • Record of real estate transaction created in database • File number auto-assigned • Physical file filed with active records REO File Management

14. A Sample Process 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 REO File Management

15. 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

16. 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

17. 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.

18. 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.

19. 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

20. 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

21. 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

22. Records Coordinators Are the heart of a successful records management program!!

23. Human Resources

24. 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”

25. 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

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