Unified Records Management Best Practices

Transcription

1 Unified Records Management Best Practices Susan Cisco, Director, Gimmal Sue Trombley, Managing Director, Iron Mountain Consulting Education Code: TU Learning Objectives Upon completion of this session, participants will be able to: 1. Understand how Unified Records Management (URM) principles can achieve RM compliance with retention and other business rules across all media and all storage locations 2. Adapt lessons learned from other companies who have expanded the RM coordinator roles to encompass digital information for use in your organization 3. Consider the establishment/re-establishment of a RM coordinator network to support local compliance with URM policies, procedures, and guidelines 2 1

2 Today s Topics What is URM? Records Coordinator Networks Survey Results Emerging Best Practices Q&A What is URM? Unified Records Management (URM) enables everyone to consistently manage all records and information, physical and electronic, through their lifecycle, apply policy for retention and destruction, and simplify RM processes on a common platform 2

3 Records Coordinator Networks Survey Results Records Coordinator History Traditional Records Coordinator roles directed at physical records: Coordinate cleanup events Assist with applying/releasing retention holds Manage off-site storage and retrieval of physical information stored with third party vendors Coordinator value: Enable records management compliance Drive consistency Manage costs 3

4 Why the Interest? Why Now? Frequently asked questions about Records Coordinators What do they do? What should they do? How many are needed? How are they recruited? Up-to-date guidance is lacking, particularly for erecords In response, launched initiative to identify emerging practices for planning to implement or expand a Records Coordinator network Zoomerang Survey Survey population was CRMs because of their depth of RM knowledge and experience Identified s for 886 of 911 active CRMs using ARMA & ICRM directories and Google Launched survey April 19, 2012: Delivered 838 surveys to valid addresses Received 97 responses (12%) 77 respondents (79%) said their organizations had Records Coordinators; if none, they skipped to end of survey Several CRMs didn t respond because they are not practitioners and not comfortable completing the survey 4

5 Industry Sectors (n=94) Government, Defense, Public Service 19% Utilities, Oil & Gas 18% Banking, Finance, Insurance 13% Professional Practices (Law Firms, Consultancies) 11% Manufacturing, Wholesale, Retail 6% Chemicals, Pharmaceuticals, Plastics & Metals 4% Education, School, R&D 4% Information Technology 3% Healthcare 2% Other 19% Number of Employees (n=79) Employees 5% 101-1,000 Employees 25% 1,001-5,000 Employees 23% 5,001-15,000 Employees 20% 15,001-30,000 Employees 13% 30,001-50,000 Employees 4% 50, ,000 Employees 4% More than 100,000 Employees 6% 43% 5

6 Definition of Records Coordinator (RC) Serves as liaison between their department or location and records management staff and provides support for implementation of the organization's recordkeeping policies, procedures, standards, and guidelines at the department/location level. What Name Is Used for RC Role? (n=80) Other 34% Records Coordinator 46% Records Liaison 20% 6

7 When Was RC Network Established? (n=75) 1987 or earlier 19% % % % 2011 to present 8% More than half (61%) began in Scandals of the early 2000s (Enron and WorldCom) Sarbanes-Oxley Act 2002 Amended Federal Rules of Civil Procedures 2006 Others: FACTA, HIPAA, GLB, 61% RC to Staff Ratio (n=76) ACTUAL RATIO Staff/RC IDEAL RATIO Staff/RC 977 / / 1 Number of RCs at 64% of desired state Not a question of talent, but scale Budget constraints Competing priorities 7

8 Is Electronic RM an RC Function? Respondents could give more than 1 response No, physical only 51% Maintain inventories of business information assets in electronic format Check that large record repositories such as imaging and document management systems are properly classified for retention Check that records in shared drives are properly classified for retention Activate retention events for event-based retention periods such as "Termination of employment + x years" and "Expiration of contract + x years" Participate in imaging feasibility studies and/or quality control of scanning operations 34% 30% 26% 23% 19% Check that records are properly classified 17% Act as a Team Site or Site Collection Administrator for SharePoint 9% What Functions Do RCs Perform? Respondents could give more than 1 response Liaise with the organization's Records Manager/RM Officer 91% Check that physical records sent to offsite storage are properly classified and packaged 75% Coordinate activities for record cleanup events 71% Notify Records Manager/RM Officer when there is a need to revise recordkeeping policies, procedures, & guidelines 70% Coordinate record destruction activities 70% Train staff members on implementing the recordkeeping procedures Interpret recordkeeping policies, procedures, and guidelines 61% 49% Conduct or participate in RM audit activities 47% Apply/release retention holds 23% Other (i.e., compliance self-assessment, IM solution design) 18% 8

9 What % of Time Is Spent on RC Role? (n=74) 1-10% 70% 11-25% 20% 26-50% 4% 51-75% 1% % 4% 90% 90% spend less than 26% of time Majority (70%) spend 1% - 10% of their time in the Records Coordinator role How Are RC s Developed? Respondents could give more than one response Train them on the role of the Records Coordinator 76% Train them on the principles & practices of records management for both paper and electronic records Make Records Coordinator function a part of each coordinator's job description Make Records Coordinator function a part of each coordinator's performance appraisal 65% 31% 26% Train them on legal issues such as ediscovery 27% Empower them with public support from senior management 26% No formal training given 18% Other * 23% * Train them on legal issues regarding HIPAA and HITECH * Regular meetings and hands-on support when needed 9

10 What Tools Are Provided to RCs? Respondents could give more than one response Web-based training modules 52% Lunch & learn meetings 48% Records management software 39% Industry association training 17% Metadata management training and tools 14% Other * 32% * 6% mentioned regular internal meetings: Annual update meetings Monthly network meetings Quarterly meetings with Records Management Biggest Challenge (n=71) Lack of support from executive level - Raising awareness at the C level that RM is critical to success; change perception from a chore to a critical part of business continuity & acknowledge performance Mobility of Records Coordinators, turnovers, transfers - Probably our greatest challenge is keeping our information/directory of records coordinators up to date. We really do have hundreds of records coordinators and the turnover is pretty large. 10

11 Records Coordinator Networks Best Practices Biggest Success (n=62) Awareness of records management and the requirement to dispose of records in a timely and secure manner has increased dramatically. Production of video training targeted at different layers of management has brought RIM awareness to the forefront. One very large team (5000 employees) created 3 functional teams who oversee 3 major business functional areas and are working with sites and departments to implement file plans and gather more detailed inventory lists. 11

12 Biggest Success (n=62) Their [RCs] ability to prepare their departments for the annual compliance audits and taking ownership and pride in the audit results. Willingness to learn, enthusiastic about wanting to clean up share drives, ready to embrace technology to streamline recordkeeping. Building a global 600-person community in a two-year period, and developing training tools and communication templates for them to use with their business units. The Commitment/Practice Divide 94% more budget 72% no strategic plan 80% have formal policies 63% inconsistently applied policies 64% provide training Only 15% audit & review 12

13 Unified Records Management Establish a foundation 77% have formal, policy-driven processes to protect private information from unauthorized or inadvertent access Unify physical records 83% report that they are unable to locate hardcopy records when needed, due in large part to the fact that not all records, across all locations, are indexed Unify electronic records Only 35% say they can classify and index user-created electronic records at time of creation or later in their lifecycle Best Practices Put the I in Records Coordinator by extending RC role to electronic records Support the RC network with an online community (blogs, team site), monthly conference calls, weekly FAQ sessions, coordinator of the month recognition, multimedia training, annual objective templates, etc. 13

14 Best Practices Make RC role a part of each RC s job description and performance appraisal; use of acknowledgment agreements Create a buddy system to hedge against turnover Extend awareness of records and information management to all employees to lighten RC s load Case Studies Government agency grew from 1 FTE RC to 12 in 2 years. Constant re-enforcement of risk to leadership through scenarios, real and imagined Increased networking with IT including input to technology selection and implementation 28 14

15 Case Studies Global corporation addressed media neutral records management through creation of records coordinator and IT representative pairs for each operating company/business unit Partnership increases RC erecords/technology understanding 29 Where Do We Go From Here? RC strategy Focus on unification of paper and electronic records Change management Training On-going communication 15

16 Continue the Conversation or #ARMA12 ARMA iconference and find us on Facebook and LinkedIN by searching for ARMA International 31 Unified Records Management Best Practices Susan Cisco, Director, Gimmal Sue Trombley, Managing Director, Iron Mountain Consulting Education Code: TU