Rick Stirling President WesternIM rick.stirling@westernim.com
Presentation Overview Retain vs. Destroy Quick RM Overview Records Management Program Building the Program E Stuff what do we do about that? How about some software Rick Stirling President Western Information Management Inc. 2
The State of Information Management Today Management Inc. 3
Retain vs. Destroy What happens if you keep it too long? What happens if you destroy it too soon? Do we have to deal with the issues? How about e discovery? Management Inc. 4
Non Records/Transitory Records Non Records Information maintained in addition to the official record that does not serve as a basis for official action Examples: Publications, reference material, catalogues, trade journals, duplicates Transitory Records A record with limited or temporary value Examples: Routine requests, memos related to short term activities, phone messages Management Inc. 5
Records Information created, received, and maintained as evidence by an organization or person in the transaction of business, or in the pursuance of legal obligations, "regardless of media". Source: ISO 15489 Examples : Reports, plans, maps, drawings, email about corporate decisions Management Inc. 6
Retain or Destroy Non records and transitory paper records can be destroyed by confidential shredding, as there are no legal or business value to them and electronic by delete Records should only be destroyed as per the corporation wide records retention schedule, which is part of a company/department wide information management program Management Inc. 7
Understanding Records Management Author Control Object Becomes A Record Corporate Control Declare Classify Records Management Legal Rules Regulatory Compliance Business Rules Access Control Retention Disposition Store/ Transfer Activity Document Creation Collaboration Properties Workflow ECM Time Enterprise Records Management Expunge Management Inc. 8
An organization s records contain it s institutional memory, an irreplaceable asset that is often overlooked The only way that an organization can be sure it is in full compliance is by operating a good information management program Management Inc. 9
Information Management Program A Records Management (RM) Program provides a corporate infrastructure that ensures the right information is available to the right user at the right time. The various components of an RM Program include (but are not limited to): Classification (folder) structure Retention schedule Policies, practices and procedures Management Inc. 10
Purpose of RM/IM Program Achieve legal and regulatory compliance Provide information in a timely manner Protect vital records Decrease storage related costs Ensure records required for future research and historical purposes are maintained Allow the corporate culture to work in a more confident and consistent manner Management Inc. 11
The Objective The Objective of an RM Program is: Corporation wide Applicable to all documents and records whether in paper, microform or electronic media Be easy to use Management Inc. 12
RM Program should Be manageable and cost effective Protect the interests of the company, shareholders, stakeholders (Corporate Governance) Be long term sustainable Be supported by senior management Be adopted by all stakeholders Management Inc. 13
As is true in the building of any structure, the foundation for the records management program must be the first step. The loftier the building, the deeper must the foundation be laid. -Thomas Kempis Management Inc. 15
Accountability Framework Develop an accountability framework for the management of corporate records Who is responsible for the company records (CFO, CIO, department heads, Deputy Ministers) Create a Records Management Steering Committee Management Inc. 16
Policy and Procedures Develop a company wide records and information management policy and procedures Align the RM policies and procedures with the company/departments goals and initiatives Make sure the policy has teeth Management Inc. 17
ISO 15489 & GARP (Generally Accepted Recordkeeping Principals) The Records and Information Management profession is supported by a strong industry standard: ISO 15489 Records Management. ARMA International has developed a Standard geared for 2010 (GARP) Management Inc. 18
Regulations Numerous regulations, legislations and Acts require information to be retained, protected and maintained Saskatchewan Archives Act PIPEDA HIPPA FOI Income Tax Act (Canada Revenue Agency) Many other Canadian Business Laws Management Inc. 19
Records Assessment, Gap Analysis and Strategic Plan Conduct key personnel interviews What services (functions) does their business unit provide? How are those services delivered (what is the delivery process)? What information (records/documents/data) is required to execute the process and what new information (records/documents/data) gets created as a result of the completion of this process? Develop high level records inventories for paper and electronic records Identify information repositories Management Inc. 20
Classification Structure Develop a company wide function based file classification/taxonomy structure applicable to both hardcopy and electronic records Support the organization, retrieval, storage, destruction or permanent retention of records Facilitate accurate filing and retrieval of records Develop in conjunction with content experts Structure should go no further than a third level unless it is a case file series Management Inc. 21
Sample Functional Structure Management Inc. 22
Retention Schedule Specify the length of time that a record must be protected and retained to meet financial, operational or historical requirements Apply a retention period to each primary level of the classification structure The most senior level person in each department should determine retention timelines Legal vs. business requirements longer requirement trumps Obtain approval by the highest corporate level of authority (CEO, Board of Directors) Management Inc. 23
Records Disposition Once classification and retention schedules are approved, records up for disposal can start the disposition process Protection of business and personal information, in hard copy or electronic format, is vital. Secure destruction of all copies (both physical and electronic) is essential The retention schedule lists and describes the various records series that exist within the company and states the date for final disposition Management Inc. 24
Boxing of Inactive Records Usually there is an active period for physical records Active records are usually boxed after their inactive period Off site storage is often used for Inactive records Climate controlled areas are the norm for storage Management Inc. 25
Disposal Process Records destruction should be conducted at a minimum annually records up for disposal can be identified using the retention schedule A records destruction review communication will be issued to the senior level person and legal counsel in the department They review the records up for disposal and approve the destruction Management Inc. 26
Disposal Process Continued If there is a valid business reason that the records should not be destroyed, litigation or freedom of information request is in place then a hold is placed on the destruction When the destruction communication is authorized, the destruction of records can occur by confidential shredding or document deletion A certificate of shredding is obtained and records destruction information is retained as a record Management Inc. 27
Building a Records Management Program is a large enterprise scale project It is important that the department/company be prepared to face the complexity of dealing with multiple stakeholders and competing interests. Management Inc. 28
Electronic Information Issues Today Shared network drives are out of control Compliance, regulation and governance issues abound Users are not sure the version of the document they are working on is current We destroy nothing at present E mail is a huge issue The enterprise network infrastructure is getting more complex all the time An electronic tool is required for a complete solution Long term view of electronic records is difficult Management Inc. 29
What Makes E Records Different No need for boxing Usually on line and searchable Ever expanding and exponential in size and volume Potential for early destruction Chance of modification Discoverable Management Inc. 30
Lessons learned in Corporate Implementations The project must have very senior management support in order to be successful Big bang vs. slow and careful Fast usually ends in disaster Cheap Fast Good (pick any two) Assume the job is forever All stakeholders must participate There is no silver bullet Wide and shallow works better than narrow and deep Management Inc. 31
Conclusion Be sure your department/company is in control of it s own information management destiny Management Inc. 32
Resources and Standards http://www.iso.org http://www.arma.org Organization of Information Management Professionals http://www.aiim.org 5015.2 Management Inc. 33
Western Information Management Inc. 410 820 51 st Street East Saskatoon, Sask. S7K 0X8 Phone (306) 384-6868 Fax (888) 752-3133 The WAY See It Management Inc. 34