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Records Management - Moving Forward

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Records Management - Moving Forward 4-21-2005 Agenda Managing the Information Lifecycle Roles and Responsibilities Records Coordinator Tasks/Profile Personnel Records ... – PowerPoint PPT presentation

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Title: 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 FE4
  • Closing Papers LA4

13
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

14
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

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
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