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…..
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
