Session V

Records Management Process Development

1MLIM6204

Electronic Record Life Cycle Create and Save Distribution and Use Maintenance Disposition

Creation and Storage Electronic files are created in applications. The file is created when it is saved with a

filename and stored on a computer drive. Folder structure

◦Broad and shallow◦Use meaningful names

Filenames—use meaningful names

=> Organization / dept. naming standards

Use and Distribution

Electronic documents distribution◦printed and sent through regular mail◦attached to an e-mail◦available on the organization’s intranet◦available on shared drive on the LAN◦published on Websites / blogs …

Security & privacy problems

Maintenance Electronic files are maintained through◦Move◦Copy◦Back up◦Restore

Synchronization problems◦ PC and mobile devices (PDA / phone…)◦ Home / office / laptop PC◦ PC and servers / web / DB / host …

Security & privacy problems (again)

Disposition

Electronic records disposition◦Data migration to archive◦Delete after retention period

In the whole cycle◦Affects much general work processes◦Security & privacy problems ◦Organizational / departmental standard

practices …

Record Management Program Components Records storage Records retention and destruction Regulatory compliance Active records management Inactive records management Vital records protection / disaster recovery

Meet business need / environment vs costs(cost-benefit analysis)

Records Storage Based on the records life cycle

◦ Storage supplies and equipment◦ Safety, security, and environment

Inactive records◦ Records preservation◦ Space conservation◦ Storage costs

Records Retention and Destruction Determine which records to keep, how long

to keep them, and how they are disposed of Develop a records retention schedule Implement the records retention schedule

throughout the organization

Compliance Meet records retention requirements for all

records Comply with local, state, and federal tax

laws Comply with other laws such as

◦ HIPAA (Healthcare privacy)◦ Sarbanes-Oxley Act (Accounting)

ISO 15489 RM standard ISO 9000 guidelines (Quality control)

Active Records Management Three types of ongoing controls

◦ Cost containment◦ Efficiency controls, ratios, and standards◦ Performance standards

Cost Containment Assign cost figures to four cost categories

◦ Salaries◦ Space◦ Equipment◦ Supplies

Compare labor costs ◦ In-house storage facilities◦ Offsite storage facilities◦ Commercial storage facilities

Efficiency Controls Three important questions

◦ How much time is required to store a record? ◦ How much time is required to retrieve a record? ◦ How much time is required to find and deliver a

requested record?

Efficiency Standards Number of misfiles—about 3 percent of total

number of records filed Number of “can’t find” records—less than 1

percent Time required to find a record—no more

than 2 to 3 minutes

Efficiency Ratios Activity ratio Accuracy ratio Retrieval efficiency ratio

Activity Ratio Measures the frequency of records use When ratio is below 5%, transfer records

below 5% to inactive or destroy

Number of records requested

Number of records filedActivity Ratio=

FORMULA

500 records requested

5,000 records filed10%=

EXAMPLE

Accuracy Ratio Measures the ability of filers to find

requested records Ratio below 97%, records system needs

attention

Number of records found

Number of records requestedAccuracy Ratio=

FORMULA

5,950 records found

6000 records requested99.17%=

EXAMPLE

Retrieval Efficiency Ratio Measures the speed with which records are

found and verifies how filers spend time

Time to locate records

Number of records retrievedRetrieval

Efficiency RatioFORMULA

=

60 minutes

80 records retrieved75%=

EXAMPLE

Performance Standards Attitudes that employees bring to the job affect

performance standards Areas of concern

◦ Poor attendance◦ Excessive overtime◦ Number and patterns of errors◦ Slow response to assignments◦ Low morale and lack of interest◦ Lack of concern for budget limits◦ Repeated failure to meet performance standards

Inactive Records Management By implementing and adhering to retention

and destruction schedules, needed inactive records are maintained for dictated time periods.

Vital Records Protection Vital records stored on microfilm or

electronic media are subjected to environmental, security, and safety controls to assure their usefulness as long as needed.

RM Program Responsibilities Records audit Records and information manual Correspondence, copy, and forms

management Disaster recovery plan Knowledge management RIM software

Records Audit

A periodic inspection to verify that an operation is in compliance with a RIM program

Outcomes◦ Information about current operations◦ Analysis of current system and its needs◦ Recommended solutions for improving RIM program

Records & Information Manual RIM program review Classification system Storage procedures for records on all media Records retention schedules Storage locations Annual program evaluation or audit Records disposition Disaster preparedness and recovery plan RIM software summary

Correspondence Management Goal: Reduce the number of records that

enter the system and must be stored and maintained.

=> e-mail

Copy Management Select most suitable copying methods and

supplies Use only one or two copier models Calculate per-copy costs regularly Charge copy-making costs to departments

involved

Forms Management Determine number and use of forms Eliminate unnecessary forms Standardize form size, paper quality,

typefaces, and design features Ensure efficient forms design Establish efficient, economical procedures

for printing, storing, and distributing forms

=> Web forms / electronic forms

Forms Design Things a forms designer needs to know

◦ How the form will be used◦ Types of items to be filled in and their sequence◦ Size, color, and weight of paper stock to be used◦ Space needed for each fill-in item

Design guidelines

Disaster Recovery Plan Phases

Phases Description

Disaster prevention

Take measures to reduce probability of loss resulting from an emergency

Preparedness Be prepared to respond when emergency occurs

Recovery Restore operations quickly

Disaster Recovery Plan Activities Identify preventive measures Initiate company-wide response Identify response personnel Estimate costs Provide offsite storage Designate alternative sites Establish recovery procedures Establish recovery priorities Identify sources and services Test the plan

RM link with Knowledge Management A field concerned with systematic, effective

management and utilization of an organization’s knowledge resources◦ Explicit knowledge—contained in documents,

databases, and records◦ Tacit knowledge—acquired through observation,

practice, and imitation

RM Software Used to automate manual processes in the

RM function Used for a specific function of the RM

program Used to integrate processes in the RM

function Integration with other organization workflow

Policy Implementation and Enforcement Implement records retention program and

policies Implement e-mail policy

Questions?Dickson K.W. Chiu

dicksonchiu@ieee.org

Class Discussion

Do you have any record management process / standards in your organization?

How does this affect your work?(positive and negative)

How does this affect your organization’s performance (in your view)?