records handout

Course #: OS 305

Title: Records & Information Management

Scheduled For: Tuesday, Round 10, 3:30-4:30 pm

Presented By: William L. Ware, CMDSM

Neotek Consulting

James P. Mullan, CMDSM

Oce Business Services

MAILCOM 2012

April 15 – 18, 2011Washington, DC

Records Management

TABLE OF CONTENTS

Page

3 WHAT ARE RECORDS ?

3 WHAT ARE NOT RECORDS ?

4 WHY DO WE NEED "GOOD" RECORDS ?

4 RECORDS MANAGEMENT – a definition

5 THE SCOPE OF RECORDS MANAGEMENTTHE LIFE CYCLE OF A RECORD

5 ELEMENTS AND FUNCTIONS OF RECORDS MANAGEMENT PROGRAMS

5 BENEFITS OF RECORDS MANAGEMENT PROGRAMS

6 RECORDS VALUES

7 LEGAL REQUIREMENTS RELATED TO RECORDS

8 INTERNATIONAL RECORDS RETENTION PERIODS – a sampling

8 INTERNATIONAL LEGAL SOURCEBOOKS

9 STEP-BY-STEP PLAN FOR ISO 9000COMPLIANCE FOR MULTINATIONAL RECORDS

9 COMPONENTS OF THE ISO 9000 STANDARDSRECORDS MANAGEMENT IMPLICATIONS

10 RELATED PROFESSIONAL ORGANIZATIONS

11 FILING CLASSIFICATION

12 METRICS

Copyright © 2012 William L. Ware MAILCOM 2012 2

Records Management

WHAT ARE RECORDS ?

Records are recorded information, regardless of the medium or characteristics, made or received by the company, that are useful in the company's operation. They are, in effect, the memory of the organization.

Records include contracts, work orders, purchase orders, photographs, drawings, or other documentary materials, regardless of physical form or characteristics, made or received for legal and operational purposes in connection with the transaction of business.

A record may be in the form of paper, microfilm, computer tape, word processing disk, microfiche, videotape, optical disks, or unique forms. Regardless of the form, the recorded information is the record and the medium only contains the information.

A record is any form of recorded information. The information may be recorded on paper, microfilm, audiotapes, videotapes, or any computer-readable medium, such as a computer tape or disk, a compact disk, or an optical disk.

In other words, except for unrecorded conversations, practically any information created or communicated within an organization forms a record.

WHAT ARE NOT RECORDS ?

The following items are generally NOT records:

stocks of publications and printed brochures.

library material acquired and preserved for reference including textbooks, periodicals, and other technical reference materials.

quasi-official notices, unsolicited announcements, invitations or other materials that are not filed as evidence of office or production operations.

preliminary drafts, worksheets, memoranda, and informal notes that do not represent significant steps in the preparation of record documents.

routing slips that contain no pertinent information or approvals used to direct the distribution of papers and correspondence.

personal property such as employee's own copies of personnel file, certificates, training documentation, etc..

extra copies of records in addition to "official" records contained elsewhere. Duplicate copies of records maintained as reading, convenience, tickler, and identical copies maintained with the "official" record are non-records if they are maintained only for reference and convenience and do not contain additional information.

blank forms, file and office supplies, or other items that can be found in a stockroom or warehouse.


Records Management

WHY DO WE NEED "GOOD" RECORDS ?

Records Serve as a Corporate Memory The company depends on accurately recorded past accomplishments instead of elusive memory and

conflicting recollections of individuals to provide a foundation for future development.

Records are both an organizational resource and asset. As a resource, records provide information; as an asset, they provide documentation.

Good Decisions Require Good Information Decisions are only as good as the information on which they are based. To make appropriate decisions,

we must have appropriate information.

Records Provide Documentation of Company Actions Clear documentation of the Company's intent and subsequent actions is a safeguard from litigation

consequences.

Unnecessary Records Represent Unnecessary Cost To contain the volume and costs associated with managing records, we need to recognize the need for

a systematic approach to managing the records from creation to disposition. Before making copies for one's personal file, make sure there is truly a need.

Unavailable Records and Lost Time are Costly Organizational efficiency can seriously be impaired if information is not able to be found or readily

available.

Records Management offers a systematic approach that allows information to be readily available, thus, enhancing the efficiency and effectiveness of the decision making process.

Meet Federal / State / Contractual / Corporate Criteria Records document the Company's compliance of contractual obligation, business practice requirements,

or regulations - local, state, and federal.

Records Management practices allow the Company to provide documentation upon request.

Records Provide a Reference Base for Company History Records document the past and provide information for future events. We must maintain this historical

base as evidence of past accomplishments and an introduction to the future.

RECORDS MANAGEMENT( a definition )

Is the application of systematic and scientific control to all the recorded information that an organization needs to conduct business.

The field of management responsible for the systematic control of the creation, maintenance, use, and disposition of records.

From the Federal perspective, it is the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved in records creation, maintenance and use, and disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations.

THE SCOPE OF RECORDS MANAGEMENT


Records Management

THE LIFE CYCLE OF A RECORD

The Records Management Program controls records throughout the organization and at all stages including:

1. CREATION and/or RECEIPTcorrespondence; forms; reports; drawings; copies; microforms; computer input/output

2. DISTRIBUTIONinternal; external

3. USEdecision-making; documentation; response; reference; legal requirements

4. MAINTENANCEfile/retention; storage; retrieval; discard; transfer

5. DISPOSITIONsemi-active storage; inactive storage; archives; preservation; discard; destroy

ELEMENTS AND FUNCTIONS OF RECORDS MANAGEMENT PROGRAMS

Records Management Administrator and Staff Records Inventory and Appraisal Records Retention and Disposition Schedule Vital Records Management and Control Active Files Management and Control Electronic Information Management Systems Micrographics Management Inactive Files Management Archives Management and Control Forms Management and Control Correspondence Management and Control Mail Management Reports Management and Control Directives Management Reprographics Control Records Management Procedures Manual

BENEFITS OF RECORDS MANAGEMENT PROGRAMS

Improved service to people Meeting legal requirements Reducing the volume of records Improving storage and retrieval systems Improving workflow and productivity Reducing costs Improving profits Protection against the effects of disasters Improved integration of Records Management and MIS/IT/IS systems Faster retrieval of information Space savings Protection of vital records Fewer lost or misplaced records Control over the creation of new records

RECORDS VALUES


Records Management

ADMINISTRATIVE or OPERATIONAL

Records with administrative value are those used in the day-to-day operations of an organization to track, document, audit, instruct, trace, guide, verify, explain, etc.. They document how the organization functions and how it is organized. The user department that creates or receives the information will need it for a certain amount of time to meet its obligations and perform its assigned tasks. Examples are: calendars, itineraries, organizational charts, policy statements, procedure manuals, job descriptions, mission statement, rules, and regulations.

FISCAL or FINANCIAL

Records with fiscal value are those involved with financial transactions such as the transfer of money. Of the four values, these are probably the easiest to determine. Information is needed for accounting and financial processing, internal/outside auditors, and to support local, state and federal tax matters. Examples are: budgets, vouchers, payroll records, and accounting records such as accounts receivable and accounts payable, and tax records.

LEGAL or REGULATORY

Legal value refers to information that may form the basis for legal actions. Statues, rules, administrative policies all effect retention requirements. A record series that may have legal value should be reviewed by legal counsel to ensure that the retention periods are sufficient to meet legal requirements. Information must be managed to meet the legal obligations of the organization. Government regulations and laws require that certain records be retained.Examples with potential legal value are: contracts, financial agreements, title, leases, note payable or receivable, legal decisions and opinions.

HISTORICAL or ARCHIVAL

Record series having historical value or research value are those that provide evidence of the function of the organization or document the organization's past and present. A common misconception is that historical records are "old" records. Records with historical value are not necessarily "old" records, but are those records that document important events of an organization that could be used by a researcher performing research on that particular period of time. Examples are: minutes of official meetings of governing bodies, information on the founders or officers of the organization, ordinances, orders, resolutions, legal opinions, audit records, civil and criminal court minutes, in-house publications, and special organizational events.

LEGAL REQUIREMENTS RELATED TO RECORDS


Records Management

1. General Business ActivitiesA. Tax / AccountingB. Employment / PersonnelC. Business Organization

* Corporation; Partnership; Sole Proprietorship2. Record Locations

A. Country[1.] United States[2.] International[3.] Multinational

B. StatesC. Local

3. Regulatory AgenciesA. Federal

[1.] Agriculture[2.] Defense - DoD[3.] Federal Energy Regulatory Commission - ERC[4.] Environmental Protection Agency - EPA[5.] Federal Deposit and Insurance Corporation - FDIC[6.] Health and Human Services [7.] Housing and Urban Development - HUD[8.] Labor

[a] Employment and Training[b] Employment Standards[c] Equal Employment Opportunity - EEO[d] Occupational Safety and Health - OSHA[e] Wage and Hour

[9.] Securities and Exchange Commission - SEC[10.] Small Business Administration - SBA[11.] Transportation - DOT[12.] Treasury

[a] Alcohol, Tobacco and Firearms - ATF[b] Internal Revenue Service - IRS

B. State / Local[1.] Labor[2.] Revenue / Tax

4. IndustryA. Agriculture K. Non-Profit / Not-For-ProfitB. Banking L. Hotel / GamingC. Communications M. InsuranceD. Construction N. Securities / InvestmentsE. Education O. ManufacturingF. Health Care / Pharmaceutical P. High TechG. Manufacturing Q. Real EstateH. Petroleum I. TransportationJ. Utility

5. Products / Activities6. Other Regulated Areas

A. Consumer ProtectionB. Environment - Air, Land, Water PollutionC. Health and SafetyD. Advertising

INTERNATIONAL RECORDS RETENTION PERIODS


Records Management

( a sampling )

COUNTRY YEARS

Australia 7Belgium 10Brazil 5Canada 6China (PRC) 15China (Taiwan) 5Finland not specifiedFrance 10Germany 10Hong Kong 6Hungary 5India 16Indonesia 10Japan 5Korea, South 5Luxembourg 10Mexico 10Netherlands 10New Zealand 7Poland 5Portugal 5Singapore 7South Africa 5Sweden 10Switzerland 10Thailand 5United Kingdom 6United States 6

Typical retention periods, mainly for tax records

INTERNATIONAL LEGAL SOURCEBOOKS

Commercial Laws of the World Multinational Corporations Law Tax Laws of the World International Environmental Law Customs Laws and Administration European Community Companies Law Law and Practice Under GATT

STEP-BY-STEP PLAN FOR ISO9000COMPLIANCE FOR MULTINATIONAL RECORDS


Records Management

1. Ascertain the status and goals for ISO9000 compliance 2. Conduct an overall evaluation of the status of Quality record keeping systems 3. Conduct an inventory of all Quality records 4. Formulate a global strategy for ISO9000 compliance 5. Develop procedures for assuring full and complete Quality documentation 6. Develop procedures for assuring current up-to-date Quality records 7. Upgrade indexing and filing systems for Quality records 8. Enhance the storage and protection of Quality records 9. Develop and implement records retention programs for Quality records 10. Develop a records management manual for Quality records

COMPONENTS OF THE ISO9000 STANDARDSRECORDS MANAGEMENT IMPLICATIONS

1. Management Responsibility 2. Quality System 3. Contract Reviews 4. Design Control 5. Document Control

* Forms Management* Directives Management* Records Management

6. Purchasing 7. Customer Supplied Material 8. Product Identification and Trace-ability 9. Process Control 10. Inspection and Testing Procedures 11. Calibration Records 12. Inspection and Test Status 13. Control of Nonconforming Product 14. Corrective and Preventive Action Procedures 15. Handling, Storage, Packaging, Preservation, and Delivery Records 16. Quality Records 17. Internal Quality Audits 18. Training 19. Servicing 20. Statistical Techniques

ISO International Organization for Standardization http://www.iso.orgISO 9000 Quality ManagementISO 14000 Environmental ManagementISO 15489 Information and Documentation – Records ManagementISO 22000 Food SafetyISO 26000 Social ResponsibilityISO 27000 Information Technology – Security TechniquesISO 28000 Supply Chain SecurityISO 31000 Risk ManagementISO 50001 Energy Management

RELATED PROFESSIONAL ORGANIZATIONS


Records Management

Association for Information & Image Management (AIIM) - www.aiim.org

American Library Association (ALA) - www.ala.org

Association of Legal Administrators – www.alanet.org

Association of Records Managers and Administrators (ARMA) - www.arma.org

Business Forms Management Association (BFMA) – www.bfma.org

International Council on Archives (ICA) – www.ica.org

International Records Management Trust (IRMT) – www.irmt.org

Institute of Certified Records Managers (ICRM) – www.icrm.org

National Association of Government Archives and Records Administrators (NAGARA) - www.nagara.org

National Archives and Records Administration (NARA) - www.archives.gov/records-mgmt

Professional Records & Information Services Management (PRISM) – www.prismintl.org

Records Management Association of Australasia (RMAA) – www.rmaa.com.au

Records Management Society (RMS) – www.rms-gb.org.uk

Society of American Archivists (SAA) - www.archivists.org

Special Libraries Association (SLA) – www.sla.org

United Kingdom Society of Archivists – www.archives.org.uk

Xplor International [The Electronic Document Systems Association] – www.xplor.org

Other

Code of Federal Regulations (searchable) – www.gpoaccess.gov/cfr

Information Requirements Clearinghouse – www.irch.com

Institute of Continuing Legal Education (ICLE) – www.icle.org

http://lawguru.com - legal advice for any situation

Iron Mountain – www.ironmountain.com

New Jersey Division of Archives & Records Management – www.njarchives.org

CMS Watch - Content Management - www.cmswatch.com/rm/

FILING CLASSIFICATION


http://www.ironmountain.com/

http://lawguru.com/

http://www.icle.org/

http://www.xplor.org/

http://www.sla.org/

http://www.archivists.org/

http://www.rms-gb.org.uk/

http://www.rmaa.com.au/

Records Management

ALPHABETICSimplified standard rules

NUMERICStart at zero and go to infinity

GEOGRAPHICCountry * province / district * city * nameUS * state * county * city * name

CHRONOLOGICALDate order – year * month * day

SUBJECTMajor headingsMinor headings

FUNCTIONALPurchasing Marketing Finance Accounting Corporate SecretaryHuman Resources Facilities Research & Development Legal Audit

COMBINATIONOf the above


Records Management

METRICS

1.6 trillion pieces of paper circulating annually 35 hours of work stacked on desks 45 minutes per day wasted on searching

1% to 5% of all records are misfiled It costs approximately $100 to find a misfiled record Searching for misfiled records can waste up to 15% of a workday

95% of an organization’s records over three years old are never referred to again 85% of all records are never referred to again once they are filed 70% to 75% of all correspondence is internal

95% of all records are non-permanent 85% of all records have a retention period of 10 years or less

10% kept for the life of the organization 20% retained currently 35% transferred to storage 35% disposed / destroyed

$1,265 per year for a 5 drawer file in prime office space $1.50 per page to produce paper for lawsuits, to provide the other side with evidence.

Over 325 billion paper documents are handled by U.S. businesses each year at an approximate average cost of $0.25 per document.

More than $6 billion is spent on preprinted paper forms in the United States each year. For every dollar spent on the form itself, another $60 is spent filling out, correcting, transporting,

filing, sorting, and retrieving it.

2,500 pages = 1 archive box 1 CD-ROM (650 MB) = 6 archive boxes 1 million pages = 400 archive boxes = 80 CDs Information held in document form is doubling every 4 years


records handout

Documents

records management programs

records management implications

tax records

records management

provide documentation

quality records

united states

multinational records