MAJOR REASONS FOR ESTABLISHING A RECORDS & INFORMATION MANAGEMENT PROGRAMME

CORPORATE MEMORY MANAGEMENT DECISION-MAKING LITIGATION SUPPORT (Legal purposes) PAPERWORK VOLUME AND COST REDUCTION

MAJOR REASONS FOR ESTABLISHING A RECORDS & INFORMATION MANAGEMENT PROGRAMME contd

ORGANIZATIONAL EFFICIENCY LEGISLATIVE AND REGULATORY REQUIREMENTS HISTORICAL REFERENCE

FORMS IN WHICH RECORDS AND INFORMATION ARE STORED

Paper-based records Microform-based (or Image-based) Electronic-based (or digital-based)

 PLANNING THE RECORDS AND INFORMATION MANAGEMENT PROGRAMME

GOALS OF A RIM PROGRAMME

Goals must have connection with organizations goals.
Overall goal of a records and information management programme is to provide the right information to the right person, at the right time, at the lowest possible cost.

GOALS Contd
To provide accurate, timely information whenever and wherever it is needed. To provide information at the lowest possible cost. To provide the most efficient records systems, including space, equipment, and procedures for creating, storing, retrieving, retaining, transferring, and disposing of records.

GOALS Contd
To protect information by designing and implementing effective measures for records control. To determine methods for evaluating all phases of the records management programme. To train company personnel in the most effective methods of controlling and using records.

OBTAINING MANAGEMENT SUPPORT

Obtain support and commitment at the beginning of planning process. Educate management about the need for programme. Present a well-designed plan. Inform all affected personnel of support and commitment.

USER SUPPORT AND COMMITMENT

Positive top-down attitudes. User involvement in process. Promote early user involvement. Encourage participation. Accept, solicit suggestions. Make potential benefits known. Provide routine updates.

RECORDS INVENTORY
Three major goals of a records inventory:
To define the present scope and status of records to be managed. To provide database for the development of a records retention programme. To provide information for other decisions in the development of an effective records and information management programme.

RECORDS INVENTORY Contd

A records inventory/survey is conducted to determine:
What types of records are maintained. Where records are stored. What volume of records is kept within the organization. What is the function of records. The frequency of use of the records.

PLANNING THE RECORDS INVENTORY

1. Obtain commitment and support from top management. 2. Select personnel to conduct inventory. 3. Obtain commitment from those who will be working on the inventory. 4. Determine method to be used. 5. Select or develop appropriate forms. 6. Plan schedule for inventory.

USING INTERNAL CONSULTANT TO CONDUCT INVENTORY

Advantages: Has understanding of office and its operations. Cost is usually less. Work flow of office should proceed without much disruption Availability to work on problems.

USING INTERNAL CONSULTANT TO CONDUCT INVENTORY Contd

Disadvantages: May have limited knowledge in records management. May not get cooperation of co-workers. May lack enthusiasm.

USING EXTERNAL CONSULTANT TO CONDUCT INVENTORY

Advantages: An expert in area of information and records management. Full-time devotion to project. Objectivity in proposing recommendations. Overcome resistance to change.

USING EXTERNAL CONSULTANT TO CONDUCT INVENTORY Contd

Disadvantages:
Greater cost. Decisions could be made without delving deep enough. Insufficient detail to implement recommendations effectively. Unavailability to address problems after project is completed.

SUBMITTING PROPOSAL
A written proposal should include: Detailed list of activities to be completed. Schedule for completing activities. Cost estimate.

CONDUCTING THE INVENTORY

1. 2. 3. 4. Complete a preliminary purge. Identify records series. Identify required space. Categorize records

FINAL REPORT OF FINDINGS

Report should be very clearly prepared. Summarized data. Tabulated data. Proposed plan of action

THE RECORDS ANALYSIS

Records are analyzed to determine:
Records types common to most departments. Those unique to certain areas. Different records types with same function. Holder of record copy.

RECORDS APPRAISAL
An examination of data gathered through records inventory to determine the value of each records series to the organization. Ensures that proper retention and disposal of records are provided. A retention schedule is developed.

STEPS TO ESTABLISH RETENTION SCHEDULE

1. Establish records series value. Administrative Value Fiscal Value Legal Value Historical Value

STEPS TO ESTABLISH RETENTION SCHEDULE Contd

2.

Establish retention periods. Originating department Legal counsel Fiscal Officer Executive branch

STEPS TO ESTABLISH RETENTION SCHEDULE Contd

3. Determine requirements. Records managers experience Knowledge of how organizations handle similar records. Information from published retention schedules. 4. Finalize retention periods.

THE RECORDS RETENTION PROGRAMME

RECORDS RETENTION PROGRAMME Contd

Developed to: Retain and protect a companys vital records. Dispose of records that no longer serve a useful purpose.

RECORDS RETENTION PROGRAMME Contd

Major goals of a records retention programme: 1. To Meet Organizational Needs. 2. To Meet Legal Requirements.

FACTORS FOR LEGAL SUFFICIENCY

Records retention programme must be developed in a systematic manner. All records must be covered in the records retention programme. Records maintained on media other than paper must be included in the records retention programme. Records retention schedule must have written approval by key personnel of the organization.

FACTORS FOR LEGAL SUFFICIENCY Contd

Records must be systematically destroyed according to the records retention programme. Records retention programme must be managed. Procedures must be in place to suspend destruction of records involved with litigation and government investigations. Documentation relating to the destruction of records must be maintained indefinitely.

IMPLEMENTATION OF RECORDS RETENTION PROGRAMME

Retention schedule preparation. Retention schedule dissemination. Retention schedule review and revision. Development of retention policies manual.