Mailcom 2011 Records & Information Handout

1. MAILCOM 2011
February 28 – March 3, 2011
Washington, DC
Course #: OS139
Title: Records & Information Management
Scheduled For: Monday, Round Three, 4:30-5:30 pm
Presented By: William L. Ware, CMDSM
Oce Business Services
James P. Mullan, CMDSM
Oce Business Services

2. Records Management
TABLE OF CONTENTS
Page
2 WHAT ARE RECORDS ?
2 WHAT ARE NOT RECORDS ?
3 WHY DO WE NEED "GOOD" RECORDS ?
3 RECORDS MANAGEMENT – a definition
4 THE SCOPE OF RECORDS MANAGEMENT
THE LIFE CYCLE OF A RECORD
4 ELEMENTS AND FUNCTIONS OF RECORDS MANAGEMENT PROGRAMS
4 BENEFITS OF RECORDS MANAGEMENT PROGRAMS
5 RECORDS VALUES
6 LEGAL REQUIREMENTS RELATED TO RECORDS
7 INTERNATIONAL RECORDS RETENTION PERIODS – a sampling
7 INTERNATIONAL LEGAL SOURCEBOOKS
8 STEP-BY-STEP PLAN FOR ISO 9000
COMPLIANCE FOR MULTINATIONAL RECORDS
8 COMPONENTS OF THE ISO 9000 STANDARDS
RECORDS MANAGEMENT IMPLICATIONS
9 RELATED PROFESSIONAL ORGANIZATIONS
10 FILING CLASSIFICATION
11 METRICS
Copyright © 2011 William L. Ware MAILCOM 2011 2

3. 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.
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4. 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.
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5. Records Management
THE SCOPE OF 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 RECEIPT
correspondence; forms; reports; drawings; copies; microforms; computer input/output
2. DISTRIBUTION
internal; external
3. USE
decision-making; documentation; response; reference; legal requirements
4. MAINTENANCE
file/retention; storage; retrieval; discard; transfer
5. DISPOSITION
semi-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
Copyright © 2011 William L. Ware MAILCOM 2011 5

6. Records Management
RECORDS VALUES
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.
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7. Records Management
LEGAL REQUIREMENTS RELATED TO RECORDS
1. General Business Activities
A. Tax / Accounting
B. Employment / Personnel
C. Business Organization
* Corporation; Partnership; Sole Proprietorship
2. Record Locations
A. Country
[1.] United States
[2.] International
[3.] Multinational
B. States
C. Local
3. Regulatory Agencies
A. 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. Industry
A. Agriculture K. Non-Profit / Not-For-Profit
B. Banking L. Hotel / Gaming
C. Communications M. Insurance
D. Construction N. Securities / Investments
E. Education O. Manufacturing
F. Health Care / Pharmaceutical P. High Tech
G. Manufacturing Q. Real Estate
H. Petroleum
I. Transportation
J. Utility
5. Products / Activities
6. Other Regulated Areas
A. Consumer Protection
B. Environment - Air, Land, Water Pollution
C. Health and Safety
D. Advertising
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8. Records Management
INTERNATIONAL RECORDS RETENTION PERIODS
( a sampling )
COUNTRY YEARS
Australia 7
Belgium 10
Brazil 5
Canada 6
China (PRC) 15
China (Taiwan) 5
Finland not specified
France 10
Germany 10
Hong Kong 6
Hungary 5
India 16
Indonesia 10
Japan 5
Korea, South 5
Luxembourg 10
Mexico 10
Netherlands 10
New Zealand 7
Poland 5
Portugal 5
Singapore 7
South Africa 5
Sweden 10
Switzerland 10
Thailand 5
United Kingdom 6
United 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
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9. Records Management
STEP-BY-STEP PLAN FOR ISO9000
COMPLIANCE FOR MULTINATIONAL RECORDS
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 STANDARDS
RECORDS 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.ch
ISO 9000 Quality Management
ISO 14000 Environmental Management
ISO 15489 Information and Documentation – Records Management
ISO 22000 Food Safety
ISO 27000 Information Technology – Security Techniques
ISO 28000 Supply Chain Security
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10. Records Management
RELATED PROFESSIONAL ORGANIZATIONS
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/
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11. Records Management
FILING CLASSIFICATION
ALPHABETIC
Simplified standard rules
NUMERIC
Start at zero and go to infinity
GEOGRAPHIC
Country * province / district * city * name
US * state * county * city * name
CHRONOLOGICAL
Date order – year * month * day
SUBJECT
Major headings
Minor headings
FUNCTIONAL
Purchasing Marketing Finance Accounting Corporate Secretary
Human Resources Facilities Research & Development Legal Audit
COMBINATION
Of the above
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12. 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
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