MAILCOM 2011                   February 28 – March 3, 2011                        Washington, DC    Course #: OS139       ...
Records Management                                     TABLE OF CONTENTSPage2       WHAT ARE RECORDS ?2       WHAT ARE NOT...
Records Management                                       WHAT ARE RECORDS ?    •   Records are recorded information, regar...
Records Management                            WHY DO WE NEED "GOOD" RECORDS ?Records Serve as a Corporate Memory• The comp...
Records Management                            THE SCOPE OF RECORDS MANAGEMENT                                     THE LIFE...
Records Management                                         RECORDS VALUES        ADMINISTRATIVE or OPERATIONALRecords with...
Records Management                       LEGAL REQUIREMENTS RELATED TO RECORDS1. General Business Activities        A. Tax...
Records Management                       INTERNATIONAL RECORDS RETENTION PERIODS                                          ...
Records Management                            STEP-BY-STEP PLAN FOR ISO9000                        COMPLIANCE FOR MULTINAT...
Records Management                           RELATED PROFESSIONAL ORGANIZATIONSAssociation for Information & Image Managem...
Records Management                                        FILING CLASSIFICATIONALPHABETIC     Simplified standard rulesNUM...
Records Management                                                    METRICS    •   1.6 trillion pieces of paper circulat...
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Mailcom 2011 Records & Information Handout

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Mailcom 2011 Records & Information Handout

  1. 1. MAILCOM 2011 February 28 – March 3, 2011 Washington, DC Course #: OS139 Title: Records & Information ManagementScheduled For: Monday, Round Three, 4:30-5:30 pm Presented By: William L. Ware, CMDSM Oce Business Services James P. Mullan, CMDSM Oce Business Services
  2. 2. Records Management TABLE OF CONTENTSPage2 WHAT ARE RECORDS ?2 WHAT ARE NOT RECORDS ?3 WHY DO WE NEED "GOOD" RECORDS ?3 RECORDS MANAGEMENT – a definition4 THE SCOPE OF RECORDS MANAGEMENT THE LIFE CYCLE OF A RECORD4 ELEMENTS AND FUNCTIONS OF RECORDS MANAGEMENT PROGRAMS4 BENEFITS OF RECORDS MANAGEMENT PROGRAMS5 RECORDS VALUES6 LEGAL REQUIREMENTS RELATED TO RECORDS7 INTERNATIONAL RECORDS RETENTION PERIODS – a sampling7 INTERNATIONAL LEGAL SOURCEBOOKS8 STEP-BY-STEP PLAN FOR ISO 9000 COMPLIANCE FOR MULTINATIONAL RECORDS8 COMPONENTS OF THE ISO 9000 STANDARDS RECORDS MANAGEMENT IMPLICATIONS9 RELATED PROFESSIONAL ORGANIZATIONS10 FILING CLASSIFICATION11 METRICSCopyright © 2011 William L. Ware MAILCOM 2011 2
  3. 3. Records Management WHAT ARE RECORDS ? • Records are recorded information, regardless of the medium or characteristics, made or received by the company, that are useful in the companys operation. They are, in effect, the memory of the organization. • Records include contracts, work orders, purchase orders, photographs, drawings, or other documentary materials, regardless of physical form or characteristics, made or received for legal and operational purposes in connection with the transaction of business. • A record may be in the form of paper, microfilm, computer tape, word processing disk, microfiche, videotape, optical disks, or unique forms. Regardless of the form, the recorded information is the record and the medium only contains the information. • A record is any form of recorded information. The information may be recorded on paper, microfilm, audiotapes, videotapes, or any computer-readable medium, such as a computer tape or disk, a compact disk, or an optical disk.In other words, except for unrecorded conversations, practically any information created or communicatedwithin an organization forms a record. WHAT ARE NOT RECORDS ?The following items are generally NOT records: • stocks of publications and printed brochures. • library material acquired and preserved for reference including textbooks, periodicals, and other technical reference materials. • quasi-official notices, unsolicited announcements, invitations or other materials that are not filed as evidence of office or production operations. • preliminary drafts, worksheets, memoranda, and informal notes that do not represent significant steps in the preparation of record documents. • routing slips that contain no pertinent information or approvals used to direct the distribution of papers and correspondence. • personal property such as employees own copies of personnel file, certificates, training documentation, etc.. • extra copies of records in addition to "official" records contained elsewhere. Duplicate copies of records maintained as reading, convenience, tickler, and identical copies maintained with the "official" record are non-records if they are maintained only for reference and convenience and do not contain additional information. • blank forms, file and office supplies, or other items that can be found in a stockroom or warehouse.Copyright © 2011 William L. Ware MAILCOM 2011 3
  4. 4. Records Management WHY DO WE NEED "GOOD" RECORDS ?Records Serve as a Corporate Memory• The company depends on accurately recorded past accomplishments instead of elusive memory and conflicting recollections of individuals to provide a foundation for future development.• Records are both an organizational resource and asset. As a resource, records provide information; as an asset, they provide documentation.Good Decisions Require Good Information• Decisions are only as good as the information on which they are based. To make appropriate decisions, we must have appropriate information.Records Provide Documentation of Company Actions• Clear documentation of the Companys intent and subsequent actions is a safeguard from litigation consequences.Unnecessary Records Represent Unnecessary Cost• To contain the volume and costs associated with managing records, we need to recognize the need for a systematic approach to managing the records from creation to disposition. Before making copies for ones personal file, make sure there is truly a need.Unavailable Records and Lost Time are Costly• Organizational efficiency can seriously be impaired if information is not able to be found or readily available.• Records Management offers a systematic approach that allows information to be readily available, thus, enhancing the efficiency and effectiveness of the decision making process.Meet Federal / State / Contractual / Corporate Criteria• Records document the Companys compliance of contractual obligation, business practice requirements, or regulations - local, state, and federal.• Records Management practices allow the Company to provide documentation upon request.Records Provide a Reference Base for Company History• Records document the past and provide information for future events. We must maintain this historical base as evidence of past accomplishments and an introduction to the future. RECORDS MANAGEMENT ( a definition )• Is the application of systematic and scientific control to all the recorded information that an organization needs to conduct business.• The field of management responsible for the systematic control of the creation, maintenance, use, and disposition of records.• From the Federal perspective, it is the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved in records creation, maintenance and use, and disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations.Copyright © 2011 William L. Ware MAILCOM 2011 4
  5. 5. Records Management THE SCOPE OF RECORDS MANAGEMENT THE LIFE CYCLE OF A RECORDThe Records Management Program controls records throughout the organization and at all stages including:1. CREATION and/or RECEIPT correspondence; forms; reports; drawings; copies; microforms; computer input/output2. DISTRIBUTION internal; external3. USE decision-making; documentation; response; reference; legal requirements4. MAINTENANCE file/retention; storage; retrieval; discard; transfer5. DISPOSITION semi-active storage; inactive storage; archives; preservation; discard; destroy ELEMENTS AND FUNCTIONS OF RECORDS MANAGEMENT PROGRAMS• Records Management Administrator and Staff• Records Inventory and Appraisal• Records Retention and Disposition Schedule• Vital Records Management and Control• Active Files Management and Control• Electronic Information Management Systems• Micrographics Management• Inactive Files Management• Archives Management and Control• Forms Management and Control• Correspondence Management and Control• Mail Management• Reports Management and Control• Directives Management• Reprographics Control• Records Management Procedures Manual BENEFITS OF RECORDS MANAGEMENT PROGRAMS • Improved service to people • Meeting legal requirements • Reducing the volume of records • Improving storage and retrieval systems • Improving workflow and productivity • Reducing costs • Improving profits • Protection against the effects of disasters • Improved integration of Records Management and MIS/IT/IS systems • Faster retrieval of information • Space savings • Protection of vital records • Fewer lost or misplaced records • Control over the creation of new recordsCopyright © 2011 William L. Ware MAILCOM 2011 5
  6. 6. Records Management RECORDS VALUES ADMINISTRATIVE or OPERATIONALRecords with administrative value are those used in the day-to-day operations of an organization to track,document, audit, instruct, trace, guide, verify, explain, etc.. They document how the organization functionsand how it is organized. The user department that creates or receives the information will need it for acertain amount of time to meet its obligations and perform its assigned tasks. Examples are: calendars,itineraries, organizational charts, policy statements, procedure manuals, job descriptions, mission statement,rules, and regulations. FISCAL or FINANCIALRecords with fiscal value are those involved with financial transactions such as the transfer of money. Of thefour values, these are probably the easiest to determine. Information is needed for accounting and financialprocessing, internal/outside auditors, and to support local, state and federal tax matters. Examples are:budgets, vouchers, payroll records, and accounting records such as accounts receivable and accountspayable, and tax records. LEGAL or REGULATORYLegal value refers to information that may form the basis for legal actions. Statues, rules, administrativepolicies all effect retention requirements. A record series that may have legal value should be reviewed bylegal counsel to ensure that the retention periods are sufficient to meet legal requirements. Information mustbe managed to meet the legal obligations of the organization. Government regulations and laws require thatcertain records be retained.Examples with potential legal value are: contracts, financial agreements, title, leases, note payable orreceivable, legal decisions and opinions. HISTORICAL or ARCHIVALRecord series having historical value or research value are those that provide evidence of the function of theorganization or document the organizations past and present. A common misconception is that historicalrecords are "old" records. Records with historical value are not necessarily "old" records, but are thoserecords that document important events of an organization that could be used by a researcher performingresearch on that particular period of time. Examples are: minutes of official meetings of governing bodies,information on the founders or officers of the organization, ordinances, orders, resolutions, legal opinions,audit records, civil and criminal court minutes, in-house publications, and special organizational events.Copyright © 2011 William L. Ware MAILCOM 2011 6
  7. 7. Records Management LEGAL REQUIREMENTS RELATED TO RECORDS1. General Business Activities A. Tax / Accounting B. Employment / Personnel C. Business Organization * Corporation; Partnership; Sole Proprietorship2. Record Locations A. Country [1.] United States [2.] International [3.] Multinational B. States C. Local3. Regulatory Agencies A. Federal [1.] Agriculture [2.] Defense - DoD [3.] Federal Energy Regulatory Commission - ERC [4.] Environmental Protection Agency - EPA [5.] Federal Deposit and Insurance Corporation - FDIC [6.] Health and Human Services [7.] Housing and Urban Development - HUD [8.] Labor [a] Employment and Training [b] Employment Standards [c] Equal Employment Opportunity - EEO [d] Occupational Safety and Health - OSHA [e] Wage and Hour [9.] Securities and Exchange Commission - SEC [10.] Small Business Administration - SBA [11.] Transportation - DOT [12.] Treasury [a] Alcohol, Tobacco and Firearms - ATF [b] Internal Revenue Service - IRS B. State / Local [1.] Labor [2.] Revenue / Tax4. Industry A. Agriculture K. Non-Profit / Not-For-Profit B. Banking L. Hotel / Gaming C. Communications M. Insurance D. Construction N. Securities / Investments E. Education O. Manufacturing F. Health Care / Pharmaceutical P. High Tech G. Manufacturing Q. Real Estate H. Petroleum I. Transportation J. Utility5. Products / Activities6. Other Regulated Areas A. Consumer Protection B. Environment - Air, Land, Water Pollution C. Health and Safety D. AdvertisingCopyright © 2011 William L. Ware MAILCOM 2011 7
  8. 8. Records Management INTERNATIONAL RECORDS RETENTION PERIODS ( a sampling ) COUNTRY YEARS Australia 7 Belgium 10 Brazil 5 Canada 6 China (PRC) 15 China (Taiwan) 5 Finland not specified France 10 Germany 10 Hong Kong 6 Hungary 5 India 16 Indonesia 10 Japan 5 Korea, South 5 Luxembourg 10 Mexico 10 Netherlands 10 New Zealand 7 Poland 5 Portugal 5 Singapore 7 South Africa 5 Sweden 10 Switzerland 10 Thailand 5 United Kingdom 6 United States 6Typical retention periods, mainly for tax records INTERNATIONAL LEGAL SOURCEBOOKS • Commercial Laws of the World • Multinational Corporations Law • Tax Laws of the World • International Environmental Law • Customs Laws and Administration • European Community Companies Law • Law and Practice Under GATTCopyright © 2011 William L. Ware MAILCOM 2011 8
  9. 9. Records Management STEP-BY-STEP PLAN FOR ISO9000 COMPLIANCE FOR MULTINATIONAL RECORDS1. Ascertain the status and goals for ISO9000 compliance2. Conduct an overall evaluation of the status of Quality record keeping systems3. Conduct an inventory of all Quality records4. Formulate a global strategy for ISO9000 compliance5. Develop procedures for assuring full and complete Quality documentation6. Develop procedures for assuring current up-to-date Quality records7. Upgrade indexing and filing systems for Quality records8. Enhance the storage and protection of Quality records9. Develop and implement records retention programs for Quality records10. Develop a records management manual for Quality records COMPONENTS OF THE ISO9000 STANDARDS RECORDS MANAGEMENT IMPLICATIONS 1.Management Responsibility 2.Quality System 3.Contract Reviews 4.Design Control 5.Document Control * Forms Management * Directives Management * Records Management6. Purchasing7. Customer Supplied Material8. Product Identification and Trace-ability9. Process Control10. Inspection and Testing Procedures11. Calibration Records12. Inspection and Test Status13. Control of Nonconforming Product14. Corrective and Preventive Action Procedures15. Handling, Storage, Packaging, Preservation, and Delivery Records16. Quality Records17. Internal Quality Audits18. Training19. Servicing20. Statistical Techniques ISO International Organization for Standardization http://www.iso.ch ISO 9000 Quality Management ISO 14000 Environmental Management ISO 15489 Information and Documentation – Records Management ISO 22000 Food Safety ISO 27000 Information Technology – Security Techniques ISO 28000 Supply Chain SecurityCopyright © 2011 William L. Ware MAILCOM 2011 9
  10. 10. Records Management RELATED PROFESSIONAL ORGANIZATIONSAssociation for Information & Image Management (AIIM) - www.aiim.orgAmerican Library Association (ALA) - www.ala.orgAssociation of Legal Administrators – www.alanet.orgAssociation of Records Managers and Administrators (ARMA) - www.arma.orgBusiness Forms Management Association (BFMA) – www.bfma.orgInternational Council on Archives (ICA) – www.ica.orgInternational Records Management Trust (IRMT) – www.irmt.orgInstitute of Certified Records Managers (ICRM) – www.icrm.orgNational Association of Government Archives and Records Administrators (NAGARA) - www.nagara.orgNational Archives and Records Administration (NARA) - www.archives.gov/records-mgmtProfessional Records & Information Services Management (PRISM) – www.prismintl.orgRecords Management Association of Australasia (RMAA) – www.rmaa.com.auRecords Management Society (RMS) – www.rms-gb.org.ukSociety of American Archivists (SAA) - www.archivists.orgSpecial Libraries Association (SLA) – www.sla.orgUnited Kingdom Society of Archivists – www.archives.org.ukXplor International [The Electronic Document Systems Association] – www.xplor.orgOtherCode of Federal Regulations (searchable) – www.gpoaccess.gov/cfrInformation Requirements Clearinghouse – www.irch.comInstitute of Continuing Legal Education (ICLE) – www.icle.orghttp://lawguru.com - legal advice for any situationIron Mountain – www.ironmountain.comNew Jersey Division of Archives & Records Management – www.njarchives.orgCMS Watch - Content Management - www.cmswatch.com/rm/Copyright © 2011 William L. Ware MAILCOM 2011 10
  11. 11. Records Management FILING CLASSIFICATIONALPHABETIC Simplified standard rulesNUMERIC Start at zero and go to infinityGEOGRAPHIC Country * province / district * city * name US * state * county * city * nameCHRONOLOGICAL Date order – year * month * daySUBJECT Major headings Minor headingsFUNCTIONAL Purchasing Marketing Finance Accounting Corporate Secretary Human Resources Facilities Research & Development Legal AuditCOMBINATION Of the aboveCopyright © 2011 William L. Ware MAILCOM 2011 11
  12. 12. Records Management METRICS • 1.6 trillion pieces of paper circulating annually • 35 hours of work stacked on desks • 45 minutes per day wasted on searching • 1% to 5% of all records are misfiled • It costs approximately $100 to find a misfiled record • Searching for misfiled records can waste up to 15% of a workday • 95% of an organization’s records over three years old are never referred to again • 85% of all records are never referred to again once they are filed • 70% to 75% of all correspondence is internal • 95% of all records are non-permanent • 85% of all records have a retention period of 10 years or less • 10% kept for the life of the organization • 20% retained currently • 35% transferred to storage • 35% disposed / destroyed • $1,265 per year for a 5 drawer file in prime office space • $1.50 per page to produce paper for lawsuits, to provide the other side with evidence. • Over 325 billion paper documents are handled by U.S. businesses each year at an approximate average cost of $0.25 per document. • More than $6 billion is spent on preprinted paper forms in the United States each year. • For every dollar spent on the form itself, another $60 is spent filling out, correcting, transporting, filing, sorting, and retrieving it. • 2,500 pages = 1 archive box • 1 CD-ROM (650 MB) = 6 archive boxes • 1 million pages = 400 archive boxes = 80 CDs • Information held in document form is doubling every 4 yearsCopyright © 2011 William L. Ware MAILCOM 2011 12

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