Session V Records Management Process Development MLIM 6204

Session V Records Management Process Development MLIM 6204 1

Electronic Record Life Cycle Create and Save Distribution and Use Maintenance Disposition

Creation and Storage Electronic files are created in applications. The file is created when it is saved with a filename and stored on a computer drive. Folder structure ◦ Broad and shallow ◦ Use meaningful names Filenames—use meaningful names => Organization / dept. naming standards

Use and Distribution Electronic documents distribution ◦ printed and sent through regular mail ◦ attached to an e-mail ◦ available on the organization’s intranet ◦ available on shared drive on the LAN ◦ published on Websites / blogs … Security & privacy problems

Maintenance Electronic files are maintained through Synchronization problems ◦ Move ◦ Copy ◦ Back up ◦ Restore ◦ PC and mobile devices (PDA / phone…) ◦ Home / office / laptop PC ◦ PC and servers / web / DB / host … Security & privacy problems (again)

Disposition Electronic records disposition ◦ Data migration to archive ◦ Delete after retention period In the whole cycle ◦ Affects much general work processes ◦ Security & privacy problems ◦ Organizational / departmental standard practices …

Record Management Program Components Records storage Records retention and destruction Regulatory compliance Active records management Inactive records management Vital records protection / disaster recovery Þ Meet business need / environment vs costs (cost-benefit analysis)

Records Storage Based on the records life cycle ◦ Storage supplies and equipment ◦ Safety, security, and environment Inactive records ◦ Records preservation ◦ Space conservation ◦ Storage costs

Records Retention and Destruction Determine which records to keep, how long to keep them, and how they are disposed of Develop a records retention schedule Implement the records retention schedule throughout the organization

Compliance Meet records retention requirements for all records Comply with local, state, and federal tax laws Comply with other laws such as ◦ HIPAA (Healthcare privacy) ◦ Sarbanes-Oxley Act (Accounting) ISO 15489 RM standard ISO 9000 guidelines (Quality control)

Active Records Management Three types of ongoing controls ◦ Cost containment ◦ Efficiency controls, ratios, and standards ◦ Performance standards

Cost Containment Assign cost figures to four cost categories ◦ ◦ Salaries Space Equipment Supplies Compare labor costs ◦ In-house storage facilities ◦ Offsite storage facilities ◦ Commercial storage facilities

Efficiency Controls Three important questions ◦ How much time is required to store a record? ◦ How much time is required to retrieve a record? ◦ How much time is required to find and deliver a requested record?

Efficiency Standards Number of misfiles—about 3 percent of total number of records filed Number of “can’t find” records—less than 1 percent Time required to find a record—no more than 2 to 3 minutes

Efficiency Ratios Activity ratio Accuracy ratio Retrieval efficiency ratio

Activity Ratio Measures the frequency of records use When ratio is below 5%, transfer records below 5% to inactive or destroy FORMULA EXAMPLE Number of records requested = Activity Ratio Number of records filed 500 records requested 5, 000 records filed = 10%

Accuracy Ratio Measures the ability of filers to find requested records Ratio below 97%, records system needs attention FORMULA EXAMPLE Number of records found = Accuracy Ratio Number of records requested 5, 950 records found 6000 records requested = 99. 17%

Retrieval Efficiency Ratio Measures the speed with which records are found and verifies how filers spend time FORMULA Time to locate records Number of records retrieved EXAMPLE 60 minutes 80 records retrieved = Retrieval Efficiency Ratio = 75%

Performance Standards Attitudes that employees bring to the job affect performance standards Areas of concern ◦ ◦ ◦ ◦ Poor attendance Excessive overtime Number and patterns of errors Slow response to assignments Low morale and lack of interest Lack of concern for budget limits Repeated failure to meet performance standards

Inactive Records Management By implementing and adhering to retention and destruction schedules, needed inactive records are maintained for dictated time periods.

Vital Records Protection Vital records stored on microfilm or electronic media are subjected to environmental, security, and safety controls to assure their usefulness as long as needed.

RM Program Responsibilities Records audit Records and information manual Correspondence, copy, and forms management Disaster recovery plan Knowledge management RIM software

Records Audit A periodic inspection to verify that an operation is in compliance with a RIM program Outcomes ◦ Information about current operations ◦ Analysis of current system and its needs ◦ Recommended solutions for improving RIM program

Records & Information Manual RIM program review Classification system Storage procedures for records on all media Records retention schedules Storage locations Annual program evaluation or audit Records disposition Disaster preparedness and recovery plan RIM software summary

Correspondence Management Goal: Reduce the number of records that enter the system and must be stored and maintained. => e-mail

Copy Management Select most suitable copying methods and supplies Use only one or two copier models Calculate per-copy costs regularly Charge copy-making costs to departments involved

Forms Management Determine number and use of forms Eliminate unnecessary forms Standardize form size, paper quality, typefaces, and design features Ensure efficient forms design Establish efficient, economical procedures for printing, storing, and distributing forms => Web forms / electronic forms

Forms Design Things a forms designer needs to know ◦ ◦ How the form will be used Types of items to be filled in and their sequence Size, color, and weight of paper stock to be used Space needed for each fill-in item Design guidelines

Disaster Recovery Plan Phases Disaster prevention Preparedness Recovery Description Take measures to reduce probability of loss resulting from an emergency Be prepared to respond when emergency occurs Restore operations quickly

Disaster Recovery Plan Activities Identify preventive measures Initiate company-wide response Identify response personnel Estimate costs Provide offsite storage Designate alternative sites Establish recovery procedures Establish recovery priorities Identify sources and services Test the plan

RM link with Knowledge Management A field concerned with systematic, effective management and utilization of an organization’s knowledge resources ◦ Explicit knowledge—contained in documents, databases, and records ◦ Tacit knowledge—acquired through observation, practice, and imitation

RM Software Used to automate manual processes in the RM function Used for a specific function of the RM program Used to integrate processes in the RM function Integration with other organization workflow

Policy Implementation and Enforcement Implement records retention program and policies Implement e-mail policy

Questions? Dickson K. W. Chiu dicksonchiu@ieee. org

Class Discussion Do you have any record management process / standards in your organization? How does this affect your work? (positive and negative) How does this affect your organization’s performance (in your view)?