This document provides an overview of practical records management. It discusses establishing an effective records management program through obtaining executive support, establishing clear objectives and procedures, training staff, and monitoring compliance. It also discusses the pros and cons of utilizing an off-site records management provider and what records managers can expect in the future, such as increasing digital records and integration of systems. The document aims to provide guidance on developing a successful records management program.

1. Practical Records Management
Chris Kelley
November 15 2011
15,

2. 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

3. 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

4. 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

5. 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

6. 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 business's 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

14. 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

15. 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.

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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.

24. 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…..

25. It doesn’t have to be that hard:

26. 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