Session 5 Changing Your Ways Function-Based Classification Getting it Right!

Transcription

1 Session 5 Changing Your Ways Function-Based Classification Getting it Right!

2 Simple concept! Not so simple to employ! Years of filing mind set Years of administrative task Years of multiple attempts to fix! Session 5: Changing Your Ways 2

3 Clarification Points Function-based classification requires more participation by all staff Subject classification Administrative staff could classify and file Person, Place or Thing Function-based classification Everyone participates Information Stewards Session 5: Changing Your Ways 3

4 Clarification Points Be clear on the Business Record media If electronic Compliance requirements met? Trustworthy Implementation strategy E.g., go forward, then weighted factors for determining conversion or imaging? Additional challenges for thinking Corporate- wide system; i.e., All use appropriate file How will restricted access files be managed? Session 5: Changing Your Ways 4

5 Clarification Points If hardcopy How do you control unnecessary duplication? Expectation that administrative staff still classify and file Not the same buy-in Consider resources Swat team to maintain Session 5: Changing Your Ways 5

6 Establish Roles and Responsibilities Will substantially change depending on mainstream media Our suggested position / unit titles Customize as you see fit Regardless of media or titles 100% clear Develop roles and responsibilities matrix Vet with HR before developing procedures and communicating to organization Session 5: Changing Your Ways 6

7 Establish Roles and Responsibilities Records Management Unit Develops and evergreens recordkeeping products Records Management Compliance Requirements Business Classification Scheme To avoid confusion Business Compliance Map Corporate Recordkeeping Standard / Thesaurus Procedures Software (Configuration) Regardless of media Session 5: Changing Your Ways 7

8 Records Management Unit Coordinates and secures approval for records disposition If hardcopy manage semi- / in-active storage Provides practical support Records Management Manages Records Management software upgrades Session 5: Changing Your Ways 8

9 Establish Roles and Responsibilities Employees Are not just users! Information Stewards Ideally Register new file folders in software Populate metadata Choose retention schedule Apply security rule by choosing positions who have access Open to all unless darn good reason Create records or collect records Person with most knowledge Classify and register records Safeguard / protect Enter date or notify when folder closed Roles will change if hardcopy is mainstream Session 5: Changing Your Ways 9

10 Response? Filing s not my job The vast majority of records are electronic created or received by Users Doubtful that administrative staff are involved in any aspect of managing that information Users are making a decision What should be kept and deleted What it should be called Where it should be filed So they are already managing information Session 5: Changing Your Ways 10

11 Difference? They will likely have to do less of it Titled a different but consistent way using tools Most say in a more logical way Will be able to dispose with confidence Definitions Retention Schedules Session 5: Changing Your Ways 11

12 Establish Roles and Responsibilities Principal Records Authority / Office of Primary Interest Person with most knowledge / responsibility for a particular series of records One function More than one function Part of a function Approve the Corporate Recordkeeping Standard Records Series Approve final disposition Identify records for Litigation Holds and Release Session 5: Changing Your Ways 12

13 Establish Roles and Responsibilities Records Management Contact Serve as the business unit expert First line of contact Coordinate the annual records disposition process under the general direction of the Records Management Unit Employees Records Management Contact Records Management Unit Session 5: Changing Your Ways 13

14 Establish Roles and Responsibilities If hardcopy is mainstream who will? Create file folder and labels Register in RM software Classify File Inventory (or bar code and scan) Box and Label Store Retrieve Dispose Session 5: Changing Your Ways 14

15 Considerations for Hardcopy Whole initiative may still be thought of as filing Much greater cost File folder, labels, equipment, floor space Printing everything to paper when it was likely created electronically And typically, the electronic is kept in addition to hardcopy People costs Administrative staff to create file, classify, file, index, inventory, box, dispose Session 5: Changing Your Ways 15

16 Biggest Consideration for Hardcopy Classification and Disposition Unless a simple case system classification is difficult for an administrative person How can an administrative person know what activity was being conducted? Administrative person may not be as familiar with knowing what records should be created or kept User typically knows when closure criterion met more so than administrative staff Unless obvious Session 5: Changing Your Ways 16

17 Primary Thought Am I the person with most knowledge on this transaction? If yes, then I am responsible for creating or receiving records that show evidence of activity or decision creating or receiving business records when the transaction occurs classifying, registering and filing the Business Records as soon as they are created or received determining when the closure criterion is met Adjust as necessary for hardcopy Session 5: Changing Your Ways 17

18 Greatest Rule to Efficiency and Accuracy Handle the information once! Handle as soon as created or received so that context and relationship is clearly in mind Not when have time Adjust the thinking from a storage system to a current retrieval system Session 5: Changing Your Ways 18

19 When should a record be made? If there is a requirement to do so Implicit / Explicit If you need to show What was decided and recommended What advice or instruction was given What happened When it happened Why it happened Who was involved Session 5: Changing Your Ways 19

20 And absolutely If the record has been transacted A draft contract ed to a potential contractor A verbal conversation stating what the organization will do to remedy a wrong An organization website statement that promises a service Session 5: Changing Your Ways 20

21 Consider this Home from work Pick up the mail Sort and filing is done Same thing applies at work Session 5: Changing Your Ways 21

22 If To Session 5: Changing Your Ways 22

23 Tips and Hints If you are responsible for the change and particularly providing training Know (and believe in!) your stuff! Understand and be able to confidently communicate the benefits of Function-Based Systems Have knowledge of how the system was developed Be an expert in describing and using the products and tools Session 5: Changing Your Ways 23

24 Tips and Hints No kidding! Remove old products and tools as soon as possible and reasonable Consider removing access to personal drives Build bridge tools only if necessary For xxxx, see xxx Make it as easy as possible to provide help Help desk - Noted on mouse pad? Clear and simple procedures with illustrations FAQs and training vignettes on intranet Session 5: Changing Your Ways 24

25 Caution! Before old products and tools are removed or disabled Test Classification System and Thesaurus Test Software Test Procedures E.g., Reduce entry of metadata E.g., For electronic records trustworthiness, we considered.pdf One more thing! Cost Test with intent to break! Session 5: Changing Your Ways 25

26 Tips and Hints When testing products, choose champions and deviants / nay sayers You want to hear the challenges to deal with them at the testing and even at the development stage not implementation Session 5: Changing Your Ways 26

27 In order to totally absorb new concept - communicate Six Times Six Different Ways 1. Group Training Don t assume that everyone needs to hear the same level of detail 2. One-on-one one mentoring 3. Self-learn learn training modules Distance learning or module specific Hardcopy or electronic Session 5: Changing Your Ways 27

28 Six Times Six Different Ways 4. Procedures with comprehensive index 5. Key Reminders in Top Ten Bulletins / Announcements / Pamphlets 6. Live or animated demos on intranet 6. Balance! Just enough details so that have an understanding as to why and how Not so many details that it appears complex Session 5: Changing Your Ways 28

29 Regardless of Communication Tool What s in it for the individual employee? How will this make their work easier? Keep classification system as intuitive as possible Don t assume they have familiarity with responsibilities or terms or the business activity of the organization Simplify records management software use; e.g., build shortcuts or interface coding Session 5: Changing Your Ways 29

30 If mandatory Provide details / training in new staff orientation package Add statement to annual performance review Measure regularly and report Evaluation by external? Form part of the Corporate Audit Process Session 5: Changing Your Ways 30

31 Remember Records management is one of the oldest professions Many legacy systems Many methodologies We ve been trying to get it right for years Users have sufficient basis for being suspicious Not a good understanding of what is really involved/required Session 5: Changing Your Ways 31

32 Caution. There is no point initiating a recordkeeping regime if the corporate culture does not support or has not been enlightened! Session 5: Changing Your Ways 32

33 The best way to ensure success? Communication! Status Successes Visibility Well researched, sound products and tools Well planned and managed implementation Adequate time Session 5: Changing Your Ways 33

34 Your Opinion What do think is the most common reason for Corporate- wide recordkeeping initiatives to fail? Name it, then build solutions! Session 5: Changing Your Ways 34

35 Next Session 6: Keeping it Right! Session 5: Changing Your Ways 35