RIM 101 Workshops
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RIM 101 Workshops

Records Retention Scheduling - The Good, The Bad, and the Ugly

Ron Shaddix

Objective

  • understand basic parts of retention scheduling (Workable, creditable, and successful retention schedule)
    • Policy
    • Culture
    • Regs
    • Ideas
    • Style
    • Concepts

What is a Retention Schedule

  • policy that identifies types of records created and maintained at the organization
  • Discusses how long records should be kept
  • Must be formally created and approved
  • Foundation of a RIM program

Generally Accepted Record Keeping Principles

  • ARMA Definition and Principles (gives standard of retention)

Anatomy of a Retention Schedule

  • Record type and Id number
  • Purpose of the Record
  • Brief description of the record
  • Event that starts the retention period
    • (CY Current Year, C closed, TER terminated, FY fiscal year, S superseded)
  • Time Period for disposition
  • Approval and revised date

How to Create

  • Two Approaches
    • Classic [Department based]
    • Functional (Functional analysis or big bucket)
  • Survey record
    • Identify hardcopy and electronic records
  • Talk to managers and office workers
  • Identify internal record keeping requirements
  • identify rules and regulations
  • Determine the value of records and put into retention time frames

Approval Process

  • physically talk to peoplee

Examples

Ugly Schedules

  • No policy
  • No direction
  • Generic titles and examples
  • Outdated

Bad Schedules

  • formatted in some way database or
  • not follow
  • not fully comprehensive

Good Retention schedule

  • Generated in a RRS software
  • Built in federal and state laws
  • formatted in a professional way

Vendors

  • Iron MT, etc
  • Quotes, trails, etc

Iron Mountain

James McCulloch

About Iron MT

  • 46 Countries
  • 1,400 record center (8.4 million stored in Atlanta)
  • Services
    • Vault Storage
    • Info Governance
    • Automated workflow
    • Auditing
    • Information management Services
    • Record Disposition
    • Data Management

Business Value from RIM

  • Space Maker
  • Program Accelerator (Consistency company-wide)
  • Vendor Consolidator
  • Records Reducer (Reduce legacy storage)
  • Unifier (Apply policy everywhere)
    • 35,000 laws governing records
    • 10 -15 % change each year
  • Digitizer (Remove Paper from workflow)

Communication

Lisa

What is Communication

  • Defined
    • Understanding audience and effectively communicating.

Analysis of communication

  • Boston Matrix (receptive audience)

Segment by receptiveness

  • Star (noobs but are curious and need support)
  • Problem Children (need prodding and pushing)
  • Cash Cow (Engaged, willing, need more info)
  • Dog (ignore message, but maybe influenced by situations)

Focus Your Attention

  • innovators or influences (advertisers, encourage others)
  • early adopter or sneezers (infecting others with program, sales person)
  • Late Majority/Biggest Results (want to do it, but don’t have time initially)
  • Laggards (require an influencer to pus them often)

Planning and Strategy

Where to start thinking from

  • Push Strategies (change thoughts and behaviors)
    • take product to customer
    • communicating the value propistion
    • Where do you want to be in X period? (end goals)
  • Create a good program of communication
    • Audience (tailor to audience)
    • Accomplishments and Goals of program
    • Timing
    • Observations

Messaging and Channels

  • Audiences
    • Why nots?
    • Think about who they are make messaging appropriate
  • Channels
    • Visual
    • Verbal
    • Written

Defining Succes

  • Metrics (affecting attitudes and behaviors)

Linda Muller

What is IST

  • 20 years, vendor at various events, and speaking
  • Products
    • Current state assessment
    • Consultancy
    • outsource RIM Services
    • RIM Technologies
    • Paper record tracking system and other software

Basics of Electronic Records

Joshua Kitchens

Risk Assessment and Migration

Debra Hock

What Kind of Risks

  • Many

Points

  • types
  • Policie

Risk Analysis = Risk Assessment

  • Where is risk

Risk Management

  • minimize, monitor and control risk

Threats and Vulnerabilities

  • People
    • warfare, terrorism
    • Vandalism by employees
    • Politics
    • Mitigation
      • background checks
      • Specific roles in Electronic systems (triggers)
      • Change passwords
      • Document Procedures and follows
  • Accidental Destruction
    • Types
      • Weather
      • earthquakes
      • fires
      • explosion/ hazdarous materials
      • volcanic eruptions
      • power plants
      • military bases proximity
      • laboratories
    • Mitigation
      • Geographical moves
      • Easy access
      • Location of emergency services
      • understand consequences
  • Carelessness/neglect
    • Types
      • handling of paper
      • Storage of electronic
      • mislabeled media
      • careless procedures
    • Mitigation
      • procedures on handling, labeling and exposure
  • Misfiled records
    • types
      • all formats
      • e-records moved to wrong places
      • data errors
      • file drawers
    • Mitigation
      • checks and balances
      • quality and control
      • Audit inventories
  • Stolen Information
    • Types
      • PII
      • HIPPA
      • Trade Secrets
      • Pricing/Marketing
    • mitigation
      • appropriate level of access
      • Proper security
  • Computer and Electronic records
    • Types
      • Aged equipment
      • software, viruses, etc
      • deletion, editing, etc
      • routing info incorrectly
      • Unauthorized Access
    • Mitigation
      • migration of legacy systems
      • work with IT
      • awareness of

Policies and Procedures

  • a good retention schedule
  • Storage procedures
  • program policy and procedures
  • Electronic policy and procedures (legal holds. Imaging of computers)

Training

Business Continuity Plan

  • Primary Contact
  • Alternate Contract
  • Define Purpose and scope
  • Assumptions
  • Objectives
  • Call Lists
  • Recovery Team
  • Recovery Requirements

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