Practical records management aenc - 20111

Practical Records Management Chris Kelley November 15 2011 15,

Practical Records Management• Brief Introduction• E t bli hi an Effective R Establishing Eff ti Recordsd Management Program• Pros and Cons of Utilizing an Off-Site Records Management Provider• What Can the Records Manager Expect in the Future• Question and Answer Period

Introduction• 28 years Records Management experience• Worked in both locally/family owned and national corporate environment ti l t i t• Attended hundreds of hours of training• Stayed awake through most of it• Made every possible mistake along the way but learned lif l l d life long l lessons f from each one h• Member of ARMA, AIIM, NAID, NRC, PRISM, DPA, DPA BRG

Establishing an Effective Records M R d Management P t Program• Why establish a records program? – Running out of space or soaring cost of g p g available space – Inefficient business process flow – Securing critical records – Lack of confidence in destruction policies p – Compliance and exposure issues – Bored and need something to do g

Establishing an Effective Records M R d Management P t Program• Objectives of effective records program – Cost control – efficient access, timely disposition of information, elimination of duplication , p – Increase value of organization by leveraging information available – Risk aversion by ensuring compliance with all applicable legislation – Litigation assistance by providing timely and complete evidentiary information – Public image (integrity) in the business community

Establishing an Effective Records M R d Management P t Program• Benefits of a well run records program – Reduces/controls the creation, redundancy and overall growth of records – Reduces/controls operational costs through improved efficiency and productivity – Reduces/controls timeline in introducing g new/improved information handling technologies – Improved safeguarding of businesss critical and historical information hi t i l i f ti – Promotes a more disciplined work environment – Enables faster but well informed management decision making

Establishing an Effective Records M R d Management P t Program• How to build a Records Management Program – Obtain executive mandate and support – Establish a Records Management task force – Develop solid and repeatable procedures – Communicate with and train the entire staff – M it compliance, effectiveness and report Monitor li ff ti d t progress – Update adjust and re train regularly Update, re-train

Establishing an Effective Records M R d Management P t Program• Obtain Executive Mandate and Support – Top down or it will fail and be a waste of time p – “C” level champion that gets it – Realistic and clear project p p j path identified with deliverable and timeline expectations signed off on by champion – Authority to go anyway and ask anything

Establishing an Effective Records M R d Management P t Program• Establish a records management task force – Select a project/team leader – Add detail oriented team members that “get it” – Willing to dedicate time and effort necessary to complete task – Open minded and thick skinned – Well respected at all levels of organization

Establishing an Effective Records M R d Management P t Program• Develop solid/repeatable procedures p p p – Ongoing maintenance of records inventory – Administration of retention policies p – Vital records identification and management – Inactive records identification and management – Active records identification and management g – Business forms policy – E-policy to deal with email and emerging E policy technology

Establishing an Effective Records M R d Management P t Program• Communicate with and train entire staff – Company wide meeting • Executive order • Attendance mandatory • Program p p g purpose, benefits and overview , – Departmental level meetings • Program specifics g p • Assign departmental records contact • Mandatory compliance • Monitoring and feedback reporting

Establishing an Effective Records M R d Management P t Program• Monitor program compliance, effectiveness, and report progress – Monthly status reports from departmental y p p records contact – Non-compliance issues resolved in writing via “incident “i id t report” – (h ld staff accountable) t” (hold t ff t bl ) – Issue resolution communicated to all departments for information and education – Master summary flash reporting to “C” level champion p – Exception procedures and handling

Establishing an Effective Records M R d Management P t Program• Update adjust and re-train regularly Update, – “The only constant is change” – Stay informed of changing landscape • Technology • Legislation • Business – New document types – New business practices and/or policies – Communicate and train

Pros and Cons of Off-Site Records M R d Management t• What is Off-Site Records Management? – It is not: • Your attic • Self-storage facility • Moving and Storage facility g g y • Bulk storage warehouse • Storage trailer on back lot • Basement w/ no fire protection • Bank safety deposit box • Place t store it Pl to t items th t you don’t know what else that d ’t k h t l to do with them

Pros and Cons of Off-Site Records Management• What is Off-Site Records Management? – Off-Site Records management is as much about providing retrieval and accession as it is about storage. – Anyone can store a box but to store them securely and respond to any request in a manner in which the location of a needed record is transparent to the end user takes a professional Commercial Records Center.

Pros and Cons of Off-Site Records M R d Management t• Typical Commercial Records Center Services – Traditional Paper Storage – On-Line Access and Reporting – Supplies – (records boxes, tapes, labels, etc.) pp ( p ) – Project Labor – (pack outs, purges, etc.) – Data Entry – (box and file level) y ( ) – Destruction Services-Retention Date Management g – Pick-up and Delivery Services

Pros and Cons of Off-Site Records M R d Management t• Other Services That May Be Offered – Document Imaging/Scanning Services – Scan on Demand Retrieval – Computer Back-Up and Rotation Services – On Site Mobile Shredding On-Site – Consulting Services –CCopying/Faxing S i i /F i Services – Audit Space w/ Internet Access

Pros and Cons of Off-Site Records M R d Management t• Common Concerns in using a Commercial Records Center – Loss of control – Exposure to price increases – Divided loyalty – Confidentiality –LLocation ti – Permanent Out/Hostage Fees

Pros and Cons of Off-Site Records M R d Management t• Advantages of CRC Relationship – Clearly defined SLA – Drives consistency and continuity of your records program – Space added only as needed – Specialized knowledge base • Storage and handling efficiency • Inventory and bar coded control expertise y • Clear chain of custody

Pros and Cons of Off-Site Records M R d Management t• Advantages (con t) (con’t) – Security • Facility • Bonded Drivers • Employees submit to background checks and drug p y g g testing – Accountability – Assistance with regulation compliance issues

Pros and Cons of Off-Site Records M R d Management t• Things to Consider – The Agreement – Facility Tour – Competence/Experience – Operating Procedures – References – St bilit Stability – When the end comes…… – “A g ide to help select an Offsite Information Management guide Company” – PRISM Publication available at www.prismintl.org

What Can the Records Manager Expect in the Future M E t i th F t• Digital records will continue to increase in importance while paper records gradually decrease in importance• Paper will continue to g p grow, but at a rate that , gradually decreases toward 5%. (Historically 10%)• Digital records will grow at incredible rates – could exceed 50% per year doubling every 18 mo’s mo s• Many organizations will be challenged to manage the growth placing a premium on the position and authority of the CIO/CTO (????)• Overall costs associated with records management will increase• O Overall b ll benefits of a well run records management fit f ll d t program will increase

What Can the Records Manager Expect in the Future M E t i th F t• Expectations put on users for accurate and speedy retrievals will continue to increase• More powerful integration and retrieval systems will be developed – not all will last• Concerns will continue to mount regarding confidentiality and privacy issues bringing additional l i l ti and amending some dditi l legislation d di existing legislation• Adoption of complete electronic RIM systems will grow – but not at the rapid rate some futurists predict• Heavier outsourcing demands will be placed on IRC and the good ones will be ready.

Final Thought• The Records Manager of yesterday was an expert at physical custody, written t t h i l t d itt procedures and ensuring compliance with the th norm.• The Records Manger of today and tomorrow must be an expert at compliance monitoring, monitoring systems development policy development, planning and dealing with change.• B t if your prepared But o r prepared…..

It doesn’t have to be that hard:

Q&A• Helpful Resources – The Association of Records Mangers and Administrators (www.arma.org) – National Association of Information Destruction (www.naidonline.org) – Professional Records and Information Services Management (www.prismintl.org) – Association of Information and Image Management g g (www.aiim.org) – Chris Kelley (ckelley@datachambers.com) – Thank You For You Time

Practical records management aenc - 20111

by Association Executives of North Carolina on Nov 18, 2011

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Practical records management aenc - 20111 — Presentation Transcript