Practical Records ManagementPractical Records Management

Chris Kelley

November 15 2011November 15, 2011

Practical RecordsPractical Records Management

• Brief IntroductionE t bli hi Eff ti R d• Establishing an Effective Records 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

ti l t i tnational corporate environment• Attended hundreds of hours of training• Stayed awake through most of it• Made every possible mistake along the way but

l d lif l l f hlearned life long lessons from each one• Member of ARMA, AIIM, NAID, NRC, PRISM,

DPA BRGDPA, BRG

Establishing an Effective R d M t PRecords Management 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 dog

Establishing an Effective R d M t PRecords Management Program

• Objectives of effective records programObjectives 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 informationPublic image (integrity) in the business– Public image (integrity) in the business community

Establishing an Effective R d M t PRecords Management Program

• Benefits of a well run records program– Reduces/controls the creation, redundancy and

overall growth of recordsReduces/controls operational costs through improved– Reduces/controls operational costs through improved efficiency and productivity

– Reduces/controls timeline in introducing gnew/improved information handling technologies

– Improved safeguarding of business's critical and hi t i l i f tihistorical information

– Promotes a more disciplined work environment – Enables faster but well informed management– Enables faster but well informed management

decision making

Establishing an Effective R d M t PRecords Management Program

• How to build a Records ManagementHow to build a Records Management Program

Obtain executive mandate and support– Obtain executive mandate and support– Establish a Records Management task force

Develop solid and repeatable procedures– Develop solid and repeatable procedures– Communicate with and train the entire staff

M it li ff ti d t– Monitor compliance, effectiveness and report progressUpdate adjust and re train regularly– Update, adjust and re-train regularly

Establishing an Effective R d M t PRecords Management Program

• Obtain Executive Mandate and Support– Top down or it will fail and be a waste of timep– “C” level champion that gets it– Realistic and clear project path identified with p j p

deliverable and timeline expectations signed off on by champion

– Authority to go anyway and ask anything

Establishing an Effective R d M t PRecords Management Program

• Establish a records management taskEstablish a records management task force

Select a project/team leader– Select a project/team leader– Add detail oriented team members that “get it”

Willing to dedicate time and effort necessary– Willing to dedicate time and effort necessary to complete taskOpen minded and thick skinned– Open minded and thick skinned

– Well respected at all levels of organization

Establishing an Effective R d M t PRecords Management Program

• Develop solid/repeatable proceduresp p p– Ongoing maintenance of records inventory– Administration of retention policiesp– Vital records identification and management– Inactive records identification andInactive records identification and

management– Active records identification and managementg– Business forms policy– E-policy to deal with email and emergingE policy to deal with email and emerging

technology

Establishing an Effective R d M t PRecords Management Program

• Communicate with and train entire staffCommunicate with and train entire staff– Company wide meeting

• Executive order• Executive order• Attendance mandatory• Program purpose, benefits and overviewg p p ,

– Departmental level meetings• Program specificsg p• Assign departmental records contact• Mandatory compliance• Monitoring and feedback reporting

Establishing an Effective R d M t PRecords Management Program

• Monitor program compliance,Monitor program compliance, effectiveness, and report progress– Monthly status reports from departmental y p p

records contact– Non-compliance issues resolved in writing via

“i id t t” (h ld t ff t bl )“incident report” – (hold staff accountable)– Issue resolution communicated to all

departments for information and educationdepartments for information and education– Master summary flash reporting to “C” level

championp– Exception procedures and handling

Establishing an Effective R d M t PRecords Management Program

• Update adjust and re-train regularlyUpdate, adjust and re-train regularly– “The only constant is change”

Stay informed of changing landscape– Stay informed of changing landscape• Technology• LegislationLegislation• Business

– New document types– New business practices and/or policies

– Communicate and train

Pros and Cons of Off-Site R d M tRecords Management

• What is Off-Site Records Management?What is Off-Site Records Management?– It is not:

• Your attic• Your attic• Self-storage facility• Moving and Storage facilityg g y• Bulk storage warehouse• Storage trailer on back lot• Basement w/ no fire protection• Bank safety deposit box

Pl t t it th t d ’t k h t l• Place to store items that you don’t know what else to do with them

Pros and Cons of Off-Site Records Management

• What is Off-Site Records Management?What is Off-Site Records Management?– Off-Site Records management is as much

about providing retrieval and accession as it isabout providing retrieval and accession as it is about storage.

– Anyone can store a box but to store themAnyone 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 R d M tRecords Management

• 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

Managementg– Pick-up and Delivery Services

Pros and Cons of Off-Site R d M tRecords Management

• Other Services That May Be OfferedOther Services That May Be Offered– Document Imaging/Scanning Services

Scan on Demand Retrieval– Scan on Demand Retrieval – Computer Back-Up and Rotation Services

On Site Mobile Shredding– On-Site Mobile Shredding– Consulting Services

C i /F i S i– Copying/Faxing Services– Audit Space w/ Internet Access

Pros and Cons of Off-Site R d M tRecords Management

• Common Concerns in using aCommon Concerns in using a Commercial Records Center

Loss of control– Loss of control– Exposure to price increases

Divided loyalty– Divided loyalty– Confidentiality

L ti– Location– Permanent Out/Hostage Fees

Pros and Cons of Off-Site R d M tRecords Management

• Advantages of CRC RelationshipAdvantages of CRC Relationship– Clearly defined SLA

Drives consistency and continuity of your– Drives consistency and continuity of your records program

– Space added only as needed– Space added only as needed – Specialized knowledge base

• Storage and handling efficiency• Storage and handling efficiency• Inventory and bar coded control expertise• Clear chain of custodyy

Pros and Cons of Off-Site R d M tRecords Management

• Advantages (con’t)Advantages (con t)– Security

• Facility• 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 R d M tRecords Management

• Things to ConsiderThings to Consider– The Agreement

Facility Tour– Facility Tour– Competence/Experience

Operating Procedures– Operating Procedures– References

St bilit– Stability– When the end comes……

“A g ide to help select an Offsite Information Management– “A guide to help select an Offsite Information Management Company” – PRISM Publication available at www.prismintl.org

What Can the Records M E t i th F tManager Expect in the Future

• Digital records will continue to increase in importance while paper records gradually decrease in importance

• Paper will continue to grow, but at a rate that p g ,gradually decreases toward 5%. (Historically 10%)

• Digital records will grow at incredible rates – could exceed 50% per year doubling every 18 mo’sexceed 50% per year doubling every 18 mo s

• Many organizations will be challenged to manage the growth placing a premium on the position and authority of the CIO/CTO (????)authority of the CIO/CTO (????)

• Overall costs associated with records management will increaseO ll b fit f ll d t• Overall benefits of a well run records management program will increase

What Can the Records M E t i th F tManager Expect in the Future

• Expectations put on users for accurate and speedy retrievals will continue to increasespeedy retrievals will continue to increase

• More powerful integration and retrieval systems will be developed – not all will lastsystems will be developed not all will last

• Concerns will continue to mount regarding confidentiality and privacy issues bringing dditi l l i l ti d diadditional legislation and amending some

existing legislation• Adoption of complete electronic RIM systemsAdoption 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 ThoughtFinal Thought• The Records Manager of yesterday was

t t h i l t d ittan expert at physical custody, written procedures and ensuring compliance with ththe norm.

• The Records Manger of today and• The Records Manger of today and tomorrow must be an expert at compliance monitoring systems development policymonitoring, systems development, policy planning and dealing with change.B t if o r prepared• But if your prepared…..

It doesn’t have to be that hard:

Q & AQ & A

• Helpful ResourcesHelpful Resources– The Association of Records Mangers and

Administrators (www.arma.org)– National Association of Information Destruction

(www.naidonline.org)Professional Records and Information Services– 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