Habit 4 of a RIM Program:

Transcription

1 : Accountability Framework ARMA Houston Spring Conference Dave Foley April 2017

2 Program Strategy In Review STRATEGY 2

3 RIM Universal Truths & Strategy Model M Measure program effectiveness, use, and compliance; implement improvements Integrate processes for effectiveness; automate for efficiencies Train everyone; Keep the RIM message simple and easy; Don t accept distractions Communicate & Train Program Maturity Business Engagemen t Accountability Framework STRATEGY Informatio n Governanc e Create accountability throughout the enterprise It always comes down to the retention schedule Define compliance; Establish the strategy Policy is the foundation Program Establishment Records Retention Schedule Fundamenta l Components Compliance & RIM Policy Strategy Program Foundation 3

4 Think Win-Win Create accountability throughout the enterprise ACCOUNTABILITY Accountability Framework Accountability acknowledgment & assumption of responsibility for actions & decisions made in regard to how records are managed is not more work; a silver bullet; the next big idea. is placing accountability into the business; dispels belief RIM owns the records Accountability Framework is a partnership a win-win; arming the business with guidance, tools, resources and structure that help them manage their records 4

5 Where to Start? START WITH WHY 5

6 Start with WHY START WITH WHY Simon Sinek 6

7 Growth and Value START WITH WHY Volume of information rapidly increase (media, format, & location) As value and use diminish, risk and cost remain 7

8 Problem Statement START WITH WHY Premise: A gap exists with understanding the RIM program. the reasons to do things, how to do things, and gaining support and followers. 8

9 A Need for Change START WITH WHY Exposure to Risk, Search, Access and Retention Inefficiencies Results Based Accountability Framework Business Engagement: Adoption of RIM Program Goal: Turn The Curve Accountable business record owners Systematic record management and destruction 9

10 The Challenge START WITH WHY Challenge: A win for the business Build a RIM program that is Enterprise-wide Defensible Sustainable Ensure business adoption Providing lasting guidance Delivering tools and processes that lower cost and risk while improving efficiencies A win for employees 10

11 A Program that Delivers EXPLAIN HOW Accessible, Authentic & Reliable Defensible Cost Exposure Risk Efficiency Consistency Standards Jurisdictions Federal Safety You & me Business Legal How can we work without information? 11

12 Start With End In Mind EXPLAIN HOW Efficiency, consistency, and standards become measures for success A win-win approach with a key corporate goal: Continue to evolve our records and information management program by implementing standardized tools and processes with a focus on employee awareness and education (2016) 12

13 How to Begin? EXPLAIN HOW Trust and credibility are not instructions, they re feelings 13

14 Think Win-Win with Accountability Program Maturity Communic Information Governanc Business e Engageme nt ate & Train EXPLAIN HOW Accountability Framework Program Establishment Records Retention Schedule Mutually beneficial solutions or agreements Establish a Executive Leader / Sponsor Create the win-win with accountability throughout the entire organization Accountability Framework 1: Leadership 2: Record Leader 3: Record Owner 4: Record Coordinator 5. Employee 6: Record Unit 7: RIM Dept. 8: RIM Training 9: Assessment and Improvement RIM Policy Fundament al Componen ts Program Foundation Your Company Define Compliance & Set RIM Strategy 14

15 Habit 4 of a RIM Program Executive Leadership EXPLAIN HOW 15

16 Record Leader EXPLAIN HOW RL Record Leader (RL) generally at the executive level and may be the RL for many Record Units. This person is ultimately responsible for all records but generally does not perform day-to-day activities with respect to records. VP/Officer Level Champions RIM; a key stakeholder Actively communicate value and importance Implements RIM Accountability in business area Establishes record units Appoints record owner(s) 16

17 Record Owner EXPLAIN HOW Record Owner (RO) responsible for disposition of records in their unit. This person has a strong understanding of the content of their records. RO Leadership level; authority to direct staff Accountable for & knowledgeable of unit s records Drive RIM improvement / compliance plans Champion annual RIM training Respond to hold notices and audits Assist protection of vital records Oversee timely record disposition Assign Record Coordinators (RCs) 17

18 Record Coordinator EXPLAIN HOW Record Coordinator (RC) responsible for ensuring users in the unit are properly trained and is a department champion of RIM policies and procedures. RC Assist the RO with RIM activities and improvement / compliance plan Go To person in the unit for RIM; share knowledge and train unit staff about RIM processes, activities and best practices Know the RIM Policy, Legal Hold Policy and the Records Retention Schedule Liaison to the RIM Department Lead routine disposition activities Participate in RC Network 18

19 Employee aka Record User EXPLAIN HOW US Record User the standard user; all employees handling the unit s information Complete annual training Manage records according to policy Properly classify all company records from the Records Retention Schedule Adhere to the unit s improvement / compliance plan Routinely dispose and eliminate duplicate records Recognize the accountability team Ask the RC for assistance as necessary 19

20 Record Unit Work Group Rec Coord Records Record Unit Record Owner Rec Coord Record Leader No need to follow organization chart EXPLAIN HOW Association of people and records Organized by function, size, location, so on Use as metadata retrieve information relating to the RU provides data access points storage mechanism disposition workflow 20

21 Without Record Unit EXPLAIN HOW 21

22 Without Record Unit EXPLAIN HOW Manager More Dave s Dave Records Work Grp Safety Records Dave Barbie Ken 22

23 Without Record Unit EXPLAIN HOW Manager More Dave s Dave Records Work Grp Safety Records Dave Barbie Ken 23

24 Record Unit EXPLAIN HOW Accounting Records Dave Record Leader Accounting Record Unit Rec Coord Work Group Record Owner 24

25 Record Unit EXPLAIN HOW Record Leader Work Group Safety Records Safety Record Unit Rec Coord Dave Record Owner 25

26 Record Unit EXPLAIN HOW 26

27 RIM Department EXPLAIN HOW Policy RRS Program Accountability Framework RC Network Educate Communicate Guide Improve 27

28 RIM Training EXPLAIN HOW RIM 400 Series 401 Understanding RIM Accountability 402 Accountability Fundamentals 403 RIM Principles and Accountability Framework for all Employees Record Coordinator Meeting a place to learn from peers and share information 28

29 The Journey EXPLAIN HOW Month 1 Month 2 Month 3 and going forward RL, RO, RC Meetings Training Health Check Record Review RC Network Introduction & Planning session Roadmap Role expectations Schedule/Impact Record Unit Role assignment Identify Participants Solidify dates Next steps RIM Overview RIM Basics RIM Accountability Framework Basics RIM Compliance Checklist RIM Health Check Maturity measure Gap analysis RIM Improvement plan Data gathering and record review Record classification Dispose of duplicates Dispose of records meeting retention Ongoing Information sharing Guidance Support 29

30 Measure For Purpose; Reach the Destination SHOW WHAT Data gathering & reporting: Set baseline Gap analysis Input to improvement plans Assessing and auditing: Seek effective, compliant and riskfree systems and processes Aid for improving the RIM program Similar tools to measure and test policy compliance through key components of the program 30

31 Data Gathering SHOW WHAT 31

32 Repositories SHOW WHAT 32

33 Reporting SHOW WHAT Low Records High Low High Record Unit and Employees 33

34 Improvement Plan SHOW WHAT 34

35 Assessing and Auditing SHOW WHAT 35

36 Assessing and Auditing SHOW WHAT 36

37 Assessing and Auditing SHOW WHAT Checklist: Creation of Records Objective: Records are created as relevant to the organizations activities and captured into the appropriate record keeping systems upon creation or receipt Good Practice Measure Evidence Compliance Yes/No/Partial 1. Follows company policy and program resources in classifying records and what should be done to safeguard it and make it accessible within the department. Include: naming conventions and metadata requirements (i.e. title, subject, name of creator, date created, locality, description, etc.) 2. Company and business unit procedures are followed for the capture, management and secure storage of electronic information Action Required Yes/No Follow-up Date 3. The business unit has established an electronic record management system (IER, Share Point, shared drives) to manage its records See checklist Where a set of records is held in physical form (e.g. paper, microform) the relationships to other physical records, or to electronic records and systems, have been recorded 5. The record keeping or record management system records the physical location of each record set 37

38 Assessing and Auditing SHOW WHAT USING ISO Complying with standards and regulations when auditing a records program Provides tips on audit information gathering and report writing 38

39 Assessing and Auditing SHOW WHAT Records management should encompass Regulatory environments must be identified including Main principles of records management include The characteristics of a record Functionality and components of record systems Records management processes and controls Monitoring and auditing encompasses 39

40 Thank You ACCOUNTABILITY Your Company Dave Foley Director, Records and Information Management Phone: at ONEOK, Records Count 40