MANAGING A RECORDS MANAGEMENT PROGRAM Sponsored by the ND Bismarck/ Mandan ARMA Chapter

1. MANAGING A RECORDS MANAGEMENT PROGRAM Sponsored by the ND Bismarck/ Mandan ARMA Chapter Dawn Cote & Les Bossert ND-Bismarck/Mandan ARMA Chapter January 2009

3. Presentation Overview • Importance of Managing Records • Definitions • Records • Records Management • Retention Schedules • What is ARMA? • What can we do for you? • Resources

4. Our Mission as Records Managers • Have the patience to retain what must be retained, • The courage to destroy what must be destroyed, and • the wisdom to know the difference between the two.

5. What is Records Management? • The systematic control of records throughout their lifecycle, from creation/receipt through active use, management and storage, to final disposition. • A standard records management program includes the catagorizing/cataloging, retrieval, retention, and final disposition of records in all formats. • It is also inclusive of many areas.

6. Records and Information Management RIM IM = Information Management FM=Files Management DM=Document and/or Data Management ECM=Electronic Content Management CM=Configuration Management FM=Forms Management RM=Records Management KM=Knowledge Management BPM=Business Process Management/Workflow Analysis

7. Primary Goal ofRecords Management Accurate records and information... To provide : • to the right individuals • in appropriate formats • at the right times • in the right places • efficiently and at low cost • followed by proper disposal or archival transfer.

8. Top 10 reasons you need… Records Management 10. Running out of space 9. Can fit your fingers in your file drawers 8. Lots of misfiles – can’t find anything 7. Electronic records were suppose to help but now have proliferated the problem because we print everything we need to keep 6. Our storage room is being renovated and our records are thrown in the basement, a warehouse, loft, a garage, or some other non-climate controlled, rodent infested, water-prone area.

9. Top 10 reasons you need RM(cont’d) 5. We had a fire and didn’t protect any of our vital records… now we have to go out of business because all of our client files are gone. 4. My boss told me to hang on to everything indefinitely… just in case… 3. The Auditor’s came and told us we had to implement ‘a standard record-keeping system’. 2. According to the new regulations (SOX, ISO 15489, HIPAA, etc.), I need to have a (or improve my existing) records program. And the #1 reason… we’re being sued and the lawyers told us to halt destruction and turn everything over to them for discovery…

10. Still not convinced? – see daily headlines (just some examples) Headlines: • “Spiteful Worker Deletes Files Worth Millions” – Engineering Firm • “Stolen laptop causes panic for more than one million current and former military personnel.” – Veteran’s Administration • “Arthur Andersen: One of the world’s most reputable accounting firms is forced into bankruptcy for a dispute over its policy for shredding information during the ongoing audit of a company.” – Associated with Enron case

11. Why is Managing Records Important? • Decision-making • Provide proof of existence, activities, processes. • Defines the business purpose/function • Documents compliance • Provides litigation and audit support • Provides a historical reference to the past • Improve overall organizational efficiencies

12. Benefits of Records Management • Manage the growth of record holdings • Identify owner of record • Eliminate duplication • Improve storage & retrieval (centralize) • Leads to better control of records – check in/out • Easier to manage • Improved efficiency & productivity • Identify and protect vital records • Meet fiscal, archival, legal, and administrative requirements • Preserve corporate memory • When individuals leave – knowledge management • Archival value – preserved for historical reasons

13. Not important until something happens… • Fire, flood, lawsuit, have to recreate something… • Get your name in the headlines

14. Who is Responsible for Managing Records?_________________ Each and every one of us !!!

15. Basics of RM Program • Before implementing a RM program: • Get buy-in (top down) • Define roles and responsibilities • Records Manager • IT = electronic records • Legal, Finance, Auditing, and Archives = retention schedule development and maintenance) • Research retention schedules currently available: • NARA schedules for federal records • State retention schedules (includes city, county, universities, boards, commissions, etc.) • Private/industry-developed (ARMA referrals) • Determine elements of RM program • Research company requirements, industry regulations (HIPAA, SOX, privacy requirements, financial/insurance governing regulations) • Use resources already available and make a plan!

16. Where Do I Start? • Steps to organizational implementation: • Identify record holdings • inventory = need to know what you have before you can manage it! • Based on inventory, develop a records retention schedule by record series (group of related documents) • Dispose of what you can (annually) • Organize (files management) • Automate (electronic records/content/document management - ECM/DM) • Gain efficiencies (workflow-BPM) • More productive work environment for all • quicker retrievals, less misfiles, more informed decisions, better customer service, etc.

17. What is a Record? • NDCC 54-46-02 says “A document, book, paper, photograph, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.” • A document is a record if: • Your office created it. • Your office received it and acted on it. • Your office is designated as the custodian (record-holder). • Your office needs it to document decisions and conduct business. • EXAMPLES: Meeting minutes, accounting files, budget files, correspondence, personnel files, insurance policies, contracts, project files, program documents, etc)

18. What is Not A Record? • Library and museum material made or acquired and preserved solely for reference or exhibition purposes. • Stocks of publications (i.e. blank forms, brochures) • Rough drafts/transcription tapes – throw once transferred into final format • Extra copies of documents retained only for convenience of reference. • NOTE: Reference copies should not be kept longer than the record.

19. Is E-mail a Record? • E-mails should be treated like correspondence, filed by subject, retained according to a retention schedule. • E-mail messages are the property of the organization, not your personal property. • There should be no expectation of personal privacy for e-mail. • E-mail may be read by others (including those in a courtroom!) • Ensure your company has a policy that includes the above and educate employees on the policy.

20. Retention of Electronic Records (including e-mail) • Base retention on the content/subject. • Organize while active (touch once) • Storage options: • Print and file in traditional paper system, • archive in email folders, or • move to separate file location for record-keeping purposes.

21. Digital Discovery • E-mail may become evidence during legal actions as official records. • Think before you write. • Make sure your facts are correct. • Read and edit before sending. • Keep copies to a minimum. • Follow retention and deletion guidelines.

22. What is a Records Retention Schedule? • List by record series (a group of logically related records with the same retention and disposition value). • Indicates the retention period (length of time you retain the record series). • Indicates the disposal method (landfill, shred, or archival transfer).

23. How long should records be kept? • Not at all. • One day. • One month. • One year. • One hundred years. • One thousand years. • Permanent (misconception – permanent=indefinite and lifetime).

24. Time – Value Concept of Records The value of most information decreases, as the age of the information increases… as records get older, they become less valuable. Value Time (Age)

25. Lifecycle of a Record • Creation/receipt • Paper • Electronic (images, email, voicemail, messaging, networked files) • Active use/management • Distribution • Processing • Active storage (files management) • Inactive storage • Disposition • Destruction • Forward to third party • Preservation/Archive

26. Life Cycle Concept of RIM “Cradle to grave” - Records Management e- Creation Controlling the: - Quality - Quantity - Cost Final Disposition Active Use Inactive Maintenance

27. Why a Records Retention Schedule is Needed • To assist in the determination of what should be retained vs. disposed. • To restrict your filing equipment/space to house only “active” records for quicker retrieval – leads to gained efficiencies. • To ensure records of enduring value and historic interest are properly maintained and available. • To legally destroy records that have served their usefulness. “Follow, defend, and support your planned, written, and legal retention schedule, and in litigation it will follow, defend, and support you.”

28. Disposal Considerations • Shredding • Used to destroy confidential records. • Can use licensed and bonded external service. Certifications required. • Landfill/Recycling • Dispose in trash or recycling container. • No special protections required. • Delete • Electronic versions of documents also need to be disposed, including all backups. • Archives/Preservation • Only those identified as historical • State Archives Website: http://www.state.nd.us/hist/sal.htm • NARA website: http://www.archives.gov/

29. Long-term Storage/Preservation • Record Longevity (regardless of media) depends on the following: • Temperature (60-74 degrees) • Humidity (30-55%) • Minimal fluctuations in temperature and humidity • Free from potential flooding, leaky roofs, infestations of rodents, mold/mildew, etc.) • Care when handling of media • Number of times referenced • Technological obsolescence/migration to updated technology • Retention considerations (active vs. inactive) • Consider formats for long-term retention • Alternative technologies (may need to store hardware/software with records) • Confidential records – Need to secure from unauthorized access (i.e. lock cabinets, password protect, etc.)

30. Life Expectancies [LE] • Parchment paper – 5000 years (English – House of Commons) • Paper – 1,000 years • Microfilm – 500 years • Magnetic (disk, tape, etc) – 1,000 weeks (20 years) • Electronic – Depends on technology and migration plan (recommend migrate every 3-5 years)

31. Acceptable Media/Formats • Types: • Paper • Microforms (film, fiche, aperture cards, COM-computer output microfilm) • Electronic • Factors: • Retention • Accessibility/frequency of use • Location (proximity to those that need to reference)

32. Media Comparison

33. How Much Is A… One Terabyte Equals… 1 Terabyte = 1,000 Gigabytes = 1,000,000 Megabytes = 1,000,000,000 Kilobytes = 1,000,000,000,000 bytes. ____________________________________________________ There are roughly 23 lines on a double-spaced page with 80 characters per line. Each character is a byte, so a single page is 80 x 23 = 1840 bytes. Thus 350 terabytes would be approximately 190.2 billion pages. __________________________________________________________________ As you may already know: 1KB (kilobyte) = 1,024bytes 1MB (megabyte) = 1,024KB 1GB (gigabyte) = 1,024MB 1TB (terabyte) = 1,024GB 1PB (petabyte) = 1,024TB Now if a PetaByte is not enough for you, we can go farther!!! 1 EB (exabyte) = 1,024 PB 1 ZB (zettabyte) = 1,024 EB And finally… 1 YB (yottabyte) = 1,024 ZB

34. How Much, Is A Lot of Information... ?!?To put the amount in perspective, consider this handy comparison chart from the folks at Berkeley: 1 Kilobyte (KB) = 1/2 of a typewritten page 1 Megabyte (MB) = a small novel 1 Gigabyte (GB) = a pickup truck filled with books 1 Terabyte (TB) = just over 50,000 trees made into paper and printed 1 Petabyte (PB) = 1/2 of the information in all the US academic research libraries 1 Exabyte (EB) = 20% of all the words ever spoken by human beings

35. E-records for the Future • Plan for migration (every 3-5 years) • Schedule periodic reviews (to ensure obsolete info disposed according to retention schedules) • Learn from others • Expect improvements in technology • Do not succumb to analysis paralysis “If we keep doing the things we’ve always done, we’ll always get what we’ve always gotten” – Will stay status quo

36. What is ARMA? “A not-for-profit professional organization dedicated to the advancement of records and information management.” • Members include (but are not limited to): • RIM Managers/Analysts • IT professionals • Data Processing and Imaging Professionals • Office Administrators • Vendors • Archivists • Hospital Administrators • Human Resource Managers • Bank Officers • Industries/background of membership includes: healthcare, legal, government, banking and finance, construction, education, utilities, human resources, engineering, etc.

37. How Can ARMA Help? • You need ARMA if: • You are considering imaging your files to increase productivity and efficiency (as well as reduce paper) • You have been asked to develop a filing system or retention schedule • You have been asked to produce records for a lawsuit • You would like to learn more about protecting your records from a disaster (fire, flood, theft) • Your business has regulations you are unfamiliar with (HIPAA, Sarbanes Oxley, etc.) • Your email is out of control!

38. Benefits of Membership • Continuing Education (including Certification-CRM) • Annual International conference/local seminars • Legislative awareness • Networking opportunities • Chapter/local opportunities (newsletter, monthly programs, vendor participation, technology consultative sessions, etc.)

39. ND Bismarck/Mandan ARMA • Chapter chartered in 1984 • About 20 members • Members in Bismarck, Mandan, Grand Forks, Fargo, and surrounding communities. • Service all of ND and part of SD Mission: To provide education, research, and networking opportunities to all individuals in the field of RIM.

40. How Do I Join? • Contact one of the current members for an application • For more information and an on-line application: • Go to: http://www.arma.org/, click on Join/Renew tab at the top, or go directly to: http://www.arma.org/join/benefits.cfm

41. Resources • ND State Records Management Program: http://www.nd.gov/itd/records/ • State Electronic Records Guidelines: http://www.nd.gov/itd/records/erguide.pdf • ND State Archives: http://www.state.nd.us/hist/sal.htm • Electronic Digital Preservation – http://www.digitalpreservation.gov/ • Media Life Expectancies – http://ssdoo.gsfc.nasa.gov/nost/isoas/dads/presentations/VanBogart/ • Standards – • General Records Management Standard: “Information and Documentation - Records Management” (ISO 15489-1: 2001) : • "Design Criteria Standards for Electronic Records Management. Software Applications," (DoD 5015.2-STD: 1997) http://www.dtic.mil/whs/directives/corres/pdf/50152std_061902/p50152s.pdf • Format standards: • .tif - http://www.scantips.com/basics9t.html • .pdf A - http://www.adobe.com/enterprise/pdfs/pdfarchiving.pdf • ARMA International – www.arma.org • National Archives and Records Administration – www.nara.gov

42. "The next best thing to knowing something is knowing where to find it." -Samuel Johnson • Information which is not communicated is valueless. • Information which cannot be found is worthless. • The value of information is directly related to its accessibility.

43. Questions? ARMA Board of Directors (2007-2009): John Christianson-President (701) 258-5856 Tracy Smith-Vice President (701) 323-7759 Mary Hayden-Treasurer (701) 328-3534 Bonnie Heit-Secretary (701) 328-9888 Dawn Cote-Past President/Board Member (701) 328-3592 Les Bossert-Board Member (701) 222-7842