75% On the Record. Is Your Organization s Records Management Program Providing High Value or High Risk?

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From this document you will learn the answers to the following questions:

  • What type of records staff did 14 % of respondents say they have implemented?

  • What did the survey respondents say they were risk at risk?

  • What percentage of respondents have not implemented a process to benchmark their records?

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1 Records Management SUrvey Report 75% of Most Respondents Said a Senior Executive Oversees the Records Program On the Record Is Your Organization s Records Management Program Providing High Value or High Risk? This report examines how an effective records program is critical for effective governance, risk management, litigation preparedness, reputation protection and strategic decision making. The findings spotlight the extent to which companies are adopting industry-accepted best practices and principles in their records management programs, challenges they are experiencing and untapped opportunities for advancing their recordkeeping to a higher level.

2 : Is Your Organization s Records Management Program Providing High Value or High Risk? Table of Contents Introduction 3 Survey Profile 3 Executive Summary 4 Key Findings 7 Conclusion 14

3 Introduction This report demonstrates that many organizations recognize how recordkeeping is fundamentally linked with their success. It is also clear that a significant number of companies have put in place best practices such as implementing a retention schedule and assigning a senior executive who is responsible for the program to help ensure that their records are managed effectively. Adhering to these best practices or principles of effective recordkeeping enables companies to ideally maintain programs that provide high value. Such programs help support day-to-day operations including key activities such as budgeting and planning, and they document compliance with applicable laws and industry regulations. Our findings also indicate, however, that a significant number of organizations have records programs that are not leveraging certain best practices and as a result, may be putting the company at risk. For example, many organizations participating in the survey indicated that they have not implemented periodic compliance auditing or a vital records program. Overlooking these and other principles of effective recordkeeping can turn a high-value program into a highrisk situation when the organization is suddenly faced with a government audit or unexpected litigation. On the Record examines a variety of recordkeeping best practices organizations have implemented that are helping them meet important business priorities. These objectives range from reducing risk to improving litigation preparedness, protecting the company s reputation and supporting sound, strategic decision making. The report also spotlights areas in which some organizations may be experiencing challenges and can tap hidden opportunities to maximize the value of their records management processes. SURVEY PROFILE A total of 222 online surveys were completed by records managers and other executives responsible for document management processes, including C-level officers (CFO, CEO, CIO, etc.), directors of administrative services and directors of operations. A range of industries is represented, including business services, financial services, insurance, technology, government and pharmaceutical. Among respondents, 79 percent work at organizations with annual revenue between $100 million and $5 billion, and 21 percent have revenue that is more than $5 billion. Respondents were guaranteed absolute confidentiality. 3

4 Executive Summary In addition to other records management industry trends, On the Record: Is Your Organization s Records Management Program Providing High Value or High Risk? spotlights five key findings: 1. While many organizations are leveraging industry-accepted principles for effective records management, some companies are also at risk of overlooking certain best practices. A significant number of companies indicated that they have incorporated industry-recognized best practices into their program. When asked which of nine elements are included in their programs, survey respondents specified that they have implemented: a records retention schedule (16%), records storage (15%), records policy (15%), dedicated records staff (14%), document management software (10%), file tracking software (8%), periodic compliance auditing (8%), records as part of the company s overall business continuity plan (7%) and a vital records program (7%). This finding indicates that many organizations are aligned with several key principles of effective recordkeeping. However, the program elements receiving the lowest scores (periodic compliance auditing, including records as part of the overall business continuity plan and implementing a vital records program) represent potential areas of high risk for organizations that do not have these in place. One possible reason for these low scores might be that some respondents have not yet experienced a crisis, such as being the subject of unanticipated legal action. Whatever the reason, organizations overlooking these best practices may want to review their records policy, including the business continuity plan, and discuss potential program improvements with the executive in charge of records management. 2. Conducting risk and records needs assessments are opportunities for some organizations to optimize their program. Two best practices represent significant opportunities for some companies to improve their programs and reduce potential risk. One of these best practices concerns records retention: Only 15 percent of executives surveyed said that their organization has implemented a risk assessment to determine appropriate retention periods. One of the important reasons for aligning with this principle is that many companies wrongly assume their insurance firm will cover a claim if they encounter a problem. This may not be the case if the insurance firm believes the claim involves gross negligence. And increasingly, gross negligence is being defined as not having an adequate records program in place, or not having one at all. A risk assessment is one way to help avoid this situation. The other best practice is to conduct a records needs assessment to uncover opportunities for closing gaps between the program s current state and desired future state. Fifty-two percent of respondents indicated that their organization either has not conducted a needs assessment (38%) or they don t know (14%). Some organizations overlook this practice because they don t have the time or resources to address problems that such an assessment might uncover. For these companies, one solution is to engage the expertise of a records management services provider. Teaming 4

5 with the right provider, the company can obtain a more objective viewpoint into the program s current state and cost-effective insights on how to advance the program to the next level and avoid future problems. 3. A strong majority of organizations have a senior executive accountable for the records program. We asked survey respondents about another key principle of effective recordkeeping accountability which includes assigning a senior executive to oversee the records management program. A strong majority of respondents (75%) indicated that their organization has appointed a senior executive to oversee the program. Twenty-one percent of respondents said that their organization does not have a senior executive in charge of a records program. The latter organizations have higher-risk programs due to the likelihood that their programs are managed by individuals and/or departments (such as the IT department) that are not experts specifically in records management. For these organizations, focusing on improving accountability represents a significant opportunity. 4. There are at least three solid opportunities for executives in charge of records management to improve their organization s program. While many companies reported having appointed an executive to oversee the records program (75%), only 16 percent specified that the executive in charge manages program development and compliance monitoring. The same low number of respondents (16%) also indicated that the executive in charge helps ensure that compliance-related matters are resolved. These findings indicate that some executives in charge, by focusing more effectively on these two areas compliance monitoring and compliance issue resolution can significantly improve their records programs and reduce the organization s risk. This focus can include making sure that the company s records manual is periodically reviewed and updated, and ensuring that the records policies are regularly communicated to employees starting from the time they are hired. In addition to compliance-related issues, senior executives in charge of records have another important opportunity to better ensure the integrity of their records. When asked to indicate which best practices are included in their programs to help ensure the integrity of their records, only 12 percent of respondents indicated that effective audit and quality assurance processes are included. These processes are critical to the organization s ability to credibly document what steps it has taken to ensure the quality and effectiveness of its program. Once again, by reviewing current records policies and addressing these audit/quality assurance processes if they are lacking, executives in charge can help close a gap that can put the company at risk. 5

6 5. A strong majority of organizations surveyed have not implemented a process for benchmarking and tracking their records program effectiveness. According to findings highlighted earlier, a significant number of organizations have not implemented a risk or records needs assessment. Key finding number five similarly uncovers another process critical to ensuring program effectiveness that is being overlooked by many companies. A strong majority of respondents (70%) have not implemented a process to benchmark over time how effectively their records program is complying with many of the practices and principles covered in this survey. Consequently, such a benchmarking and tracking process, whether implemented internally or by a service provider, represents another critical opportunity for many organizations. This activity is so critical because if it is not implemented, the organization has no way of knowing, for example, if it is in compliance with the latest industry regulations and best practices. The organization also would not be able to document to what extent the records program is supporting the business, reducing risk and enhancing operational efficiency. Without such documentation, the records management department is in jeopardy of not being able to support its business case and thus is more vulnerable to budget cuts. The information management landscape is continually changing. An effective records management program is essential for enterprises to meet increasingly complex, demanding and evolving regulatory challenges. Many organizations recognize this and have implemented best practices to help ensure that their records programs are effective. On the other hand, these and other organizations have significant opportunities to make their program even stronger when it comes to reducing risk, continually improving processes over time and documenting the program s value to the business. By leveraging these opportunities, an enterprise can more confidently answer the question: Is our program providing high value or high risk? The following pages highlight these and other important issues in more detail. 6

7 Key Findings 1. A significant number of organizations include key elements in their recordkeeping programs that align with industry-accepted principles for effective records management. When asked to select which elements are included in their records management programs, the highest number of respondents said that their organization s program includes a records retention schedule (16%). These results were closely followed by a records storage process (15%), a records policy (15%) and a dedicated records management staff (14%). Which one of the following is included in your records management program? Records Program Elements Response % Records Retention Schedule 16% Records Storage 15% Records Policy 15% Dedicated Records Management Staff 14% Document Management Software 10% File Tracking Software 8% Periodic Compliance Auditing 8% Records as Part of Our Overall Business Continuity Plan 7% Vital Records Program 7% 7

8 2. While organizations have implemented a range of important activities to help optimize their records retention processes, implementing a risk assessment represents an area of opportunity. Twenty-nine percent of respondents specified that their organizations consulted with legal counsel to determine records retention requirements. A relatively high number of organizations (28%) also interviewed appropriate employees to determine how long records are needed to satisfy business requirements. Twenty-three percent of companies surveyed have implemented a system to ensure that records are disposed after their retention period expires. Fewer organizations (15%) reported implementing a risk assessment to determine the appropriate retention period for each type of record. For these organizations, implementing a risk assessment represents an area of opportunity. Which one of the following elements of records retention applies to your organization? Records Retention Activities Response % Conducted Research with Legal Counsel to Clarify Requirements 29% Interviewed Employees to Determine Requirements 28% Implemented a System to Ensure Proper Disposal 23% Implemented a Risk Assessment to Determine Retention Periods 15% None of the Above 3% Don t Know 2% 3. Similar to conducting a risk assessment, conducting a records needs assessment is an area of opportunity for some organizations to optimize their programs. Forty-eight percent of survey respondents said that their organization has conducted a records needs assessment designed to ultimately optimize their program. However, a significant number of companies (38%) have not conducted an assessment, while 14 percent don t know whether or not their organization has implemented an assessment. Has your company conducted a records needs assessment to uncover opportunities for closing gaps between the program s current state and desired future state? Conducted a Records Needs Assessment Response % Yes 48% No 38% Don t Know 14% 8

9 4. A strong majority of companies surveyed have a senior executive who is accountable for the organization s recordkeeping program. We also asked survey respondents about another key principle of effective recordkeeping accountability which includes assigning a senior executive to oversee the records management program. A strong majority of respondents (75%) indicated that their organization has appointed an executive responsible for their recordkeeping program. Twenty-one percent specified that they do not have an accountable senior executive. For these and similar organizations, designating a senior executive is an opportunity to optimize accountability for their programs. Is there a senior executive who is responsible for your organization s recordkeeping program? Is There a Senior Executive Accountable for Recordkeeping Response % Yes 75% No 21% Don t Know 4% 5. Ongoing program development and compliance monitoring represent potential areas of program improvement for executives in charge of records management. Because accountability is such an important principle of effective records management, we probed a bit deeper to clarify what activities executives in charge are overseeing as part of their organization s program. Twenty-four percent of respondents indicated that the executive in charge of their program ensures that program policies and procedures are documented, formally approved and communicated to employees. Almost the same number of respondents (22%) specified that the lead executive designates personnel to roles and tasks supporting the records program. A lower percentage of respondents (16%) said that the executive in charge of records manages ongoing program development and helps to ensure that compliance-related matters are resolved. The latter findings indicate two areas that might be areas of improvement for many organizations. Which one of the following does the executive in charge of your recordkeeping program oversee? Activities Managed by the Records Senior Executive Response % Ensures That Policies Are Documented, Approved & Communicated 24% Designates Personnel to Roles Supportive of the Program 22% Ensures Staff Records Management Training 16% Manages Program Development & Compliance Monitoring 16% Helps Ensure Compliance-Related Matters Are Resolved 16% None of the Above 4% Don t Know 2% 9

10 6. Companies are leveraging a range of practices to ensure the integrity of their records. We asked survey respondents to indicate which best practices are included in their programs to help ensure the integrity of their records. Among the choices offered, implementing formal recordkeeping policies and procedures that have been approved by senior management ranked highest (27%), followed by training employees on the organization s records policies and procedures (22%). One of the lowest responses was for implementing effective audit and quality assurance processes (12%). This finding, combined with other survey results, indicates that audit and compliance monitoring best practices are key program improvement opportunities for some organizations. To help ensure the integrity of its records, our company has implemented the following practice: Records Integrity Best Practices Response % Formal Recordkeeping Policies Approved by Senior Execs 27% Employee Training on Policies & Procedures 22% Consistent Practices Throughout the Records Lifecycle 19% Reliable Recordkeeping Systems, Including Hardware and Software 17% Effective Audit & Quality Assurance Processes 12% None of the Above 2% Don t Know 1% 7. While many companies take steps to protect their information and records, implementing an effective auditing process once again emerges as an opportunity for program improvement. An important principle of effective recordkeeping is to ensure a reasonable level of protection for records that are private, confidential, privileged or essential to business continuity. A high number of executives surveyed (44%) said that their organization allows only personnel with appropriate clearance to access information in electronic and physical systems. Additionally, 30 percent of survey respondents specified that their company has safeguards clearly defined in a written policy to prevent information from leaving the organization. However, significantly fewer respondents (21%) reported that their audit program has a clear process to determine if sensitive information is being handled in a way that ensures its protection. Our organization has implemented the following best practice in order to reasonably protect private, confidential and privileged information and records: Records Protection Best Practices Response % Only Personnel with Appropriate Clearance Can Access Information 44% Defined Safeguards Preventing Data from Leaving the Company 30% Audit Program Has Clear Policy to Determine Proper Handling of Data 21% None of the Above 4% Don t Know 1% 10

11 8. Organizations recognize the importance of compliance and support it with a number of best practices. Recordkeeping programs must comply with applicable laws and the organization s own policies. We asked survey participants if any or all of the key compliance principles highlighted applied to their company s records program. The highest number of respondents (29%) said that their organization maintains its records for the time prescribed by law and/or best practices. Twenty-five percent of respondents indicated that their company has drafted and enforced policies to ensure compliance. Almost the same number of respondents (23%) also said that their organization knows what information must be entered into its records in order to demonstrate that business is being conducted lawfully. Nineteen percent of organizations said they enter that information into their records in the manner prescribed by law. Which one of the following principles of compliance applies to your records management program? Records Compliance Best Practices Response % We Maintain Records for the Time Prescribed by Law 29% We Have Drafted and Enforced Policies to Ensure Compliance 25% We Know What Data Must Be Entered in Our Records to Show Compliance 23% We Enter That Information into Our Records in the Manner Prescribed by Law 19% None of the Above 2% Don t Know 2% 9. Many companies reported that their records programs are effective at ensuring timely availability, while just as many reported their programs are only moderately effective or not effective at all. How effective is your company s records management program at ensuring information is available in a timely manner? Forty-five percent of survey respondents rated their programs as effective (34%) to very effective (11%). However, a slightly greater amount of respondents (53%) rated their programs as either moderately effective (44%) or not effective (9%). This finding indicates that a significant number of organizations may want to assess their records management process in order to make sure that employees can retrieve information in the most timely and efficient manner possible. How would you rate the effectiveness of your company s recordkeeping program in ensuring timely, efficient and accurate retrieval of information? Program Effectiveness for Availability of Information Response % Moderately Effective 44% Effective 34% Very Effective 11% Not Effective 9% Don t Know 2% 11

12 10. A relatively high number of organizations do not have a routine approach for capturing metadata about their records. Industry experts point out that capturing descriptive information about records (metadata) is critical to ensuring that the records will continue to be accessible throughout their lifecycle. When asked if their organization captures records metadata, 47 percent of respondents asserted that their organization does engage in this important activity. However, a significant number of executives (40%) said that their company does not capture metadata. Additionally, a relatively high number of respondents (13%) specified that they do not know if metadata is part of their company s recordkeeping requirements. Does your organization have a routine approach for capturing descriptive information about its records (known as metadata)? Organizations Capturing Records Metadata Response % Yes 47% No 40% Don t Know 13% 11. While most companies periodically remove obsolete information from their information systems, a significant number do not. Another key finding related to records management is that a solid 54 percent of companies periodically remove obsolete or redundant information from their information system. However, a relatively high number of respondents (34%) said that their organization does not periodically remove such data. Because proper disposition of records is a vital part of an effective records program, this finding suggests putting policies and schedules in place for ensuring disposition is an opportunity for some companies to improve their records program. Does your organization periodically remove obsolete or redundant records and related data from its information systems? Remove Obsolete or Redundant Records Response % Yes 54% No 34% Don t Know 12% 12

13 12. There are key areas in which organizations can improve their disposition of records. When asked about methods of records disposal, 41 percent of respondents said that their company disposes of physical records in a secure manner ensuring that records are transported securely and destroyed completely. Thirty-four percent of respondents said that they suspend disposition of relevant records in the event of a pending or ongoing litigation or audit. This finding suggests that more companies need to review their legal hold procedures to better meet discovery demands when litigation is reasonably anticipated. Additionally, only 22 percent of respondents indicated that their organization disposes of electronic records in a secure manner a finding that indicates another possible opportunity for program improvement. Which one of the following applies to the destruction of your company s records? Records Disposition Response % Records Are Transported Securely and Destroyed Completely 41% Disposition of Relevant Records is Suspend in Face of Pending Litigation 34% Electronic Records Are Disposed in a Secure Manner 22% Don t Know 3% 13. Implementing a process to benchmark and track records program effectiveness is an opportunity for many survey respondents. According to key findings numbers two and three, implementing a risk assessment and a records needs assessment are areas of opportunity for many companies. Similarly, we asked respondents a question that uncovered another area of potential records program improvement. According to the finding, a strong majority of respondents (70%) have not implemented a process to benchmark over time how effectively their records program is complying with many of the practices covered in this survey. Consequently, such a benchmarking process represents another solid opportunity for many organizations. Our company has implemented a process to benchmark and track over time how effectively it is complying with many of the practices covered in this survey. We Have Implemented a Benchmarking Process Response % No 70% Yes 30% 13

14 Conclusion Taking the responses of executives participating in our survey as a whole, a story emerges. The story highlights the fact that an increasing number of organizations take records management very seriously, and these organizations have created records programs that incorporate a number of industry-recognized best practices. The latter includes, for example, putting in place a records retention schedule, records storage processes and a records policy as well as driving effectiveness by implementing a dedicated records staff and designating a senior executive to be accountable for the program. This part of the story, combined with other trends uncovered in our survey, is good news since managing information in the form of records is one of an organization s most crucial activities. A sound, consistent records management approach enables employees to make better business decisions, continually improve customer service and more effectively process transactions. There is another part of the story, however. In this scenario, highlighted by our survey findings, some organizations are not leveraging best practices. As a result, they may be simultaneously lowering the business value of their programs while increasing risk. The following are what we see as two critical opportunities based on our survey findings. 1. Establish solid processes for mitigating risk, improving compliance and enhancing efficiency. Survey respondents indicated that a significant number of organizations are overlooking key best practices, including conducting risk and records needs assessments in order to optimize their programs as well as effectively manage ongoing program development, compliance monitoring and compliance-related issue resolution in order to contain risk and ensure continual program improvement. Focusing on these opportunities can take an organization a long way toward creating a high-value records program. 14

15 One example is a law firm that saw an opportunity to improve the records management program of one of its six U.S. offices. Some of its challenges included the fact that the office s staff was not properly trained on records management best practices and was not fully leveraging the benefits of the firm s software system, which is used to manage all files from creation through disposal. As a result of these and other problems, records were misplaced, difficult to locate and required too much time to deliver. This increased risk in the form of inferior client service, possible spoliation of case-related documents and noncompliance with court-ordered discovery requests. The firm teamed with us to make important changes. These included implementing a new staffing model based on a defined reporting structure with accountability for such program activities as file storage. One person was assigned responsibility for off-site storage preparation and delivery procedures for all of the file rooms. We also created a customer service desk managed by a customer service representative, a supervisor-level employee who coordinates all communication with law office personnel. These and other initiatives achieved a range of results: eliminating redundant processes improved accountability, better utilizing the firm s software system ensures that records are accounted for as part of daily operations and the firm s business continuity/disaster preparedness plan, and improving the speed of locating files reduces the risk of noncompliance with court-ordered discovery requests. 2. Build a value-based information governance lifecycle strategy. Records management is outside the core competency of many organizations. Whether a company chooses to manage and continuously improve its program internally, or in conjunction with a service provider, we suggest an approach that, for many companies, requires a new way of thinking about records management. The foundation of this new approach is to start by building a solid foundation with a value-based information governance lifecycle strategy that incorporates the recordkeeping principles covered in this survey. These and other principles, developed by ARMA International, span a range of best practices, such as accountability (assigning responsibility to a senior executive), integrity (being able to prove that a record is authentic and unaltered) and compliance (ensuring records management activities are conducted lawfully). As an example, our Records Needs Assessment (RNA) consulting service incorporates these principles and is a foundation of our comprehensive, proactive lifecycle approach. According to our survey, 52 percent of respondents indicated that their organization either has not conducted a records needs assessment (38%) or they don t know (14%). Without such an assessment, organizations will have challenges in attaining their records management goals because records management experts (internal staff or consultants) have not analyzed the company s existing records program and provided recommendations to close gaps between its current state and the desired future state. Our RNA service helps fulfill this need. The output is a broad-scope, high-level strategic document that can be used to guide future program investment. Our consultants utilize our proprietary RNA methodology, a five-level maturity model that helps organizations determine how they can progress from their program s current state to an optimal future state. For example, level 1 (Aware) indicates that the organization is aware that problems exist but has taken minimal action to improve the program. Level 5 (Optimized) describes a program in which governance is a strategic initiative. Whatever records management strategy an organization adopts, the goals should be clear. The company will want its program to mitigate records compliance risk, leverage proven technology, gain more control over its information assets, improve operational efficiency and offer the ability to continuously improve. Our mission has been to help organizations achieve these goals so they can focus on their mission growing their core business. 15

16 Advancing Business Performance to a Higher Level 460 West 34th Street New York, NY Canon Business Process Services, Inc. is a leading provider of managed services and technology that enable organizations to improve operational efficiency while reducing risk and cost. Experts apply quality management principles and tools such as Six Sigma to advance performance to a higher level. The company offers services including BPO, imaging, records management, print, mail and ediscovery, and is an IAOP Global Outsourcing 100 Leader in 2013 for the seventh consecutive year. Based in New York City, Canon Business Process Services is a wholly owned subsidiary of Canon U.S.A., Inc. Parent company Canon Inc. (NYSE:CAJ) ranks third overall in U.S. patents registered in 2012 and is one of Fortune magazine s World s Most Admired Companies in Learn more at CANON, MAXbasic and MAXadvanced are registered trademarks of Canon Inc. in the United States and may also be a registered trademark or trademarks in other countries. All other referenced product, company or service names and marks are trademarks or service marks of their respective owners and are hereby acknowledged Canon Business Process Services, Inc. All rights reserved. Canon Business Process Services, Inc v1

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