Habit 7 of a RIM Program · 7 Habits of a RIM Program Measure and Improve Measure The Program...

2018 ARMA Houston Spring Conference

Habit 7 of a RIM Program: Measure and Improve

ARMA Houston APR 2018

2018 ARMA Houston Spring Conference 2

7 Habits of a RIM Program Measure and Improve Measure The Program

Measuring the success of records management (RIM) can be difficult if RIM strategies are not aligned with the business, and if no baseline metrics have been established. Gartner, March 2017


Simon Sinek

7 Habits of a RIM Program Measure and Improve Start With Why


7 Habits of a RIM Program Measure and Improve A Program that Delivers

START WITH WHY

Accessible, Authentic & Reliable Defensible Cost Exposure Risk Efficiency Consistency Standards

WHY


Set baseline

Gap analysis

Reporting

Input to improvement plans

Seek effective, compliant and risk-free systems and processes

Assessments and Audits

Improve the RIM program

Similar tools used to measure program’s components regardless of maturity level

7 Habits of a RIM Program Measure and Improve Measuring The Program


Program Establishment

Program Foundation

Communicate & Train Business

Engagement

Information Governance

Accountability Framework

Records Retention Schedule

Fundamental Components

RIM Policy Compliance &

Strategy

Program Maturity

7 Habits of a RIM Program Measure and Improve

Strategy drives goals Goals drive action

Actions deliver results

Measure program effectiveness, use, and compliance; implement improvements

Integrate processes for effectiveness; automate for efficiencies

Train everyone; keep the RIM message simple and easy

Create company-wide accountability

One, company-wide records retention schedule

Define compliance; establish the strategy

One, company-wide policy as the foundation


Program Establishment

Program Foundation

Communicate & Train Business

Engagement

Information Governance

Accountability Framework

Records Retention Schedule

Fundamental Components

RIM Policy Compliance &

Strategy

Program Maturity Surveys: people check mostly for comfort and non-confrontational; subjective

evaluations; total cost of ownership; rate of use and acceptance for new systems / processes

Assess to learn, progress on improvement plans; attestation; audit review / refresh; use

best practice for reviews; is useable and useful

review for currency; organization applicability

maturity model / heat map to drive program compliance; checklist to drive program use measures

program participation, empower RC's to deliver training; different mediums; refresh look and content



"If you don't know where you're going, any road will take you there“ Lewis Carroll's Alice's Adventures in Wonderland

Is the program effective? Is the program being used? Is the organization moving toward compliance?



An organization with a solid foundation of proven successful records management practices will: Preserve the right information for the correct length of time

Habit 3 (Records Retention Schedule)(Put 1st Things 1st)

Meet legal requirements faster and more cost effectively

Habit 4 (Accountability Framework)(Win-Win) Habit 6 (Information Governance)(Synergy)

Control and manage records management storage and destruction fees


Demonstrate proven practices of good faith through consistent implementation

Habit 2 (Strategy and Compliance)(Begin With End In Mind)

Habit 4 (Accountability Framework)(Win-Win)

Archive vital information for business continuity and disaster recovery

Habit 3 (Records Retention Schedule)(Put 1st Things 1st)

Provide information in a timely and efficient manner regardless of urgency of request


Each represents a good practice; as a unit, they serve as a solid foundation of best practices for records management.

(left table provided by www.IronMountain.com)

7 Habits of a RIM Program Measure and Improve Characteristics of Successful Programs


An organization with a solid foundation of proven successful records management practices will: Use technology to manage and improve the records management program

Habit 6 (Information Governance)(Synergy)

Integrate policies and procedures throughout organization

Habit 2 (Strategy and Compliance)(Begin With End In Mind)


Establish ownership and accountability of the records management program

Habit 4 (Accountability Framework)(Win-Win)

Arrange for continuous training and communication throughout the organization

Habit 5 (Communication and Training)(Seek First To Understand; Then To Be Understood)

Project an image of good faith, responsiveness and consistency

Habit 1 (Policy)(Be Proactive)

Review, audit and improve program continuously

Habit 7 (Measure Use, Effectiveness, and Compliance)(Sharpen The Saw)

Each represents a good practice; as a unit, they serve as a solid foundation of best practices for records management.

(left table provided by www.IronMountain.com)

7 Habits of a RIM Program Measure and Improve Characteristics of Successful Programs




LOW

EFF

EC

T

H

IGH

Est. RIM Dept.

RIM added as Company Goal

Retention Policy

Physical Record Retention Schedule

Business Accountability Defined

Defensible Retention Schedule (RRS)

RIM Strategy

Online Blogs

MAOP Review; Physical Box Inventory

New Hire & Intern Training

Define / Document Dept. Processes

RIM Resource Web Page

ECM Requirements

Physical Record Index Application

Standardize Form Management

Experienced Hires

IA Testing Tools

ECM Design

Annual Awareness Training

Est. RIM Coordinator Network in Bus.

FAQ and Glossary

Training Curriculum

Build / Roll Out Training

Employ measurements; Maturity Heat Map

DEPT. PROGRAM Enterprise

Update RIM Company Goal

Revise RIM Policy

Pilot Acct Framework in Corp Svcs.

2nd Pilot Acct Framework

ECM Build

ECM Pilot

Improve training; close gaps

‘Magic Quadrant’

2011 - 2014 , 2015 , 2016 , 2017

Refresh RRS

ECM Rollout

Acct Framework

Code of Conduct

7 Habits of a RIM Program Measure and Improve Magic Quadrant – A Program that Delivers

MEASURE EFFECTIVENESS



7 Habits of a RIM Program Measure and Improve Goals Defined in Maturity Model / Heat Map



Records and Information Management: “field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.”

Efficient Control ◦ time factors ◦ total cost of ownership

Systematic Control ◦ automated & manual processes ◦ consistency

7 Habits of a RIM Program Measure and Improve ISO 15489


Complying with standards and regulations when auditing a

reCords program

provides tips on audit information gathering and

report writing

USING ISO 15489


7 Habits of a RIM Program Measure and Improve Other Resources




• reCords management should enCompass …

• regulatory environments must be identified inCluding …

• main prinCiples of reCords management inClude …

• the CharaCteristiCs of a reCord …

• funCtionality and Components of reCord systems …

• reCords management proCesses and Controls …

• monitoring and auditing enCompasses








Difference is Knowing vs Doing; Moving from Purpose to Results

EXPLAIN HOW SHOW WHAT

Measuring Applying Intelligence Quotient (IQ)

a measurement of human intelligence

Intelligence Used for many purposes, staff selection and assignment, choice of profession, study, school

Emotional Quotient (EQ) a measurement of emotional intelligence

Emotional Intelligence (EI) monitoring one's own and other people's emotions, …, to use emotional information to guide thinking and behavior

RIM Program Quotient (RPQ) a measurement of understanding for the accountability framework and RIM practices

RIM Program Intelligence (RPI) applying RIM practices into business processes; using the accountability framework to guide thinking and behavior

7 Habits of a RIM Program Measure and Improve RPQ and RPI


MEASURE USE

RPQ – RIM Program Quotient is a measurement for understanding and using record management practices; measurement for adherence to policy (compliance) RPI – RIM Program Intelligence describes the ability or capacity to assess, understand, and incorporate established record management practices into business unit processes

A business unit develops RPI in a 3-step process 1. Measure RPQ

• compliance of the business unit’s records • business unit’s adoption and support of RIM program • level of employee engagement

2. Analyze for improvement • strengths and challenges • areas of compliance the business unit is handling well • areas of compliance needing improvement

3. Develop and follow a rolling year by year improvement plan • at the end of the 12 months return to step 1 to assess the degree of

accomplishment (delta between RPQs) • repeat the cycle

7 Habits of a RIM Program Measure and Improve RPI and Program Adoption


Questions for Staff Members (probing program adoption)

• What do you know about the RIM policy? Where is it? Have you read it? • What is a records retention schedule, where is it, how is it used? • Have you had records management training? • Do you have access to a department manual or set of department

procedures for records management? • Describe how you create, classify, file and retrieve records • Describe how you review and destroy records • Do you know what records you are expected to maintain to comply with

legislation and industry regulations? • Do you know what records you are responsible for making sure others

create and retain?

MEASURE USE

7 Habits of a RIM Program Measure and Improve Assessment (RPI)


Record Testing

If the test is not measurable, the test plan needs improvement

Suggest a subset of business unit’s record types; selected from risk ranking, rate of use and other factors

MEASURE USE

7 Habits of a RIM Program Measure and Improve Assessment


Onsite Questionnaire

If the test is not measurable, the test plan needs improvement

MEASURE USE

7 Habits of a RIM Program Measure and Improve Assessment


Record Testing: Considerations

• Media type and location matters • < 10% of records are physical

Desk File room Onsite storage Offsite storage More than paper

• > 90% of records are electronic Computer C: drive (a no no) File Shares, Share Point, FileNet and other repositories External drives, CDs, mobile devices, cloud, new technology

• RRS used to manage retention and disposition • Legal and tax holds • Disposition

MEASURE USE

7 Habits of a RIM Program Measure and Improve Record Testing Checklist


Capture How are documents/records collected? Are all needed documents/records generated? Are the documents/records complete? What documents/records are generated by what document? Where is the master index of all controlled documents kept? Is this master list up-to-date?

Classify

How are documents/records indexed? Are controlled documents identified as such? Is the process determining if a document should be controlled accurate? Are the records properly classified to the corporate records retention schedule?

Manage

Are the documents/records legible? Are the documents/records adequate? Do the documents/records show a process being followed?

MEASURE USE

7 Habits of a RIM Program Measure and Improve Record Lifecycle Testing


Manage, continued How are documents/records maintained? Are all obsolete/controlled documents removed from use? Do all documents in use have the same revision as the master list shows? Has the organization established and maintained documented procedures to control documents?

Discover

Do the documents/records exist? Are the legal hold and preservation hold processes for records understood and followed How are documents/records accessed?

Archive

How are documents/records stored? How are documents/records secured? Are the documents/records protected from damage?

Dispose

How are documents/records disposed? Are records destroyed in accordance with the appropriate retention period?

MEASURE USE

7 Habits of a RIM Program Measure and Improve Record Lifecycle Testing


SAFETY

Legal

Code of Conduct

HR

RIM

Info Security

MEASURE COMPLIANCE

7 Habits of a RIM Program Measure and Improve Policies

Policy • principles, rules, and guidelines

adopted by an organization to reach long-term goals

• provides clarity when dealing with accountability issues or activities that are of critical importance to the organization, or issues that have serious consequences

Compliance (policy intelligence) • the conformity in fulfilling

organizational requirements. • measured to determine how well

policy is understood and followed


COMPLIANCE 7 Habits of a RIM Program Measure and Improve Internal Audit


Company information, digital and electronic, original and copies, is compliant when: The owner has been identified The location is known The content is known and accessible Adequate descriptions are available The information correctly classified from the enterprise records retention schedule The information is routinely reviewed and disposed of according to the enterprise

retention schedule

Business Units are compliant when: RM training should be completed annually Provided time for records review as part of a regularly scheduled event BU staff with RM roles are appropriately trained 100% of BU's records (electronic and physical) are classified and managed from the

enterprise records retention schedule

Employees are compliant when: RM training completed annually Participated in records review Properly classifieds all records from the enterprise records retention schedule

MEASURE COMPLIANCE

7 Habits of a RIM Program Measure and Improve Compliance Checklist


Record Testing: Selecting Records to Test • Refer to the records retention schedule • What are the types of records you’d expect this business to have? • Use information risk / value table • Test records with highest risk totals • Recommend testing all records with risk total => 20

Retention Code

Regulatory Risk

Financial Risk

Value of Information

Vital or Critical Record

Hold Order Risk

Risk Total

MEASURE COMPLIANCE

7 Habits of a RIM Program Measure and Improve Risk Ranking


Record Testing: Selecting Records to Test Risk Definition

Regulatory Risk Government/regulatory requirements exist for retention of this information

Financial Risk Significance of this record type (in aggregate) in supporting or impacting the company financials

Value of Information Monetary value of the information, i.e., can it be sold or put on the books as assets?

Vital or Critical Record Criticality of this information to the operation of the company

Hold Order Risk Historical evidence that that these records have been highly subject to legal hold

Weighting Definition 1 Minimal/None 2 Low 3 Moderate 4 High 5 Critical

Retention Code

Regulatory Risk

Financial Risk



Hold Order Risk

Risk Total

MEASURE COMPLIANCE



Record Testing Example: Selecting Records to Test

Retention Code

Regulatory Risk

Financial Risk



Hold Order Risk

Risk Total

COR-08 (RRS) 1 2 3 5 5 16

IMT-04 (COD) 1 3 1 1 3 9

COR-01 (Policy & Procedures)

1 1 1 3 4 10

ADM-03 (reference)

1 1 1 1 1 5

Test Catch-All Records • Reference material; desk procedures • General business and communication; copies for short time period

otherwise reclassify with official record

MEASURE COMPLIANCE



MEASURE COMPLIANCE

7 Habits of a RIM Program Measure and Improve Internal Audit


MEASURE COMPLIANCE

7 Habits of a RIM Program Measure and Improve Internal Audit

Three General Tests

1. Information, data, documents, and physical objects are managed in compliance with the records and information management policy and maintained in accordance with the records retention schedule • determine whether records are maintained in

accordance with the records retention schedule

2. Information, data, documents, physical objects, and tangible items must be preserved until all applicable legal hold orders (LHO) have been released, even if the legal department has collected copies of these items • determine whether LHO items are preserved and

maintained by the custodian on record

3. Records are disposed in accordance records and information management policy, using the records retention schedule • review the business units’ disposal and

destruction process


Do I Measure Up? Program Maturity • Internal measures, trending and reporting • Program effectiveness • Business adoption and use • Business compliance


MEASURE WITH PEERS

Benchmarking

Need to do things right Need to do the right things


7 Habits of a RIM Program Measure and Improve Benchmarking

MEASURE WITH PEERS


7 Habits of a RIM Program Measure and Improve Benchmarking - WHY

A look into what is being worked; not how or how well

• Help understand areas of concern; help plan the journey • Improvement and awareness opportunities • Think tanks give stats and reports; less on specific issues

and corrections to consider


7 Habits of a RIM Program Measure and Improve Benchmarking – HOW (example)


7 Habits of a RIM Program Measure and Improve Benchmarking – HOW (examnple)


7 Habits of a RIM Program Measure and Improve Benchmarking – WHAT (example)

Pas

t 5 Y

ears

Next 5 Years

Today To

day

Low High

Low

H

igh

Low High

Low

H

igh


Dave Foley

Director Records and Information Management

918-595-1564 [email protected]


“The greatest challenge for most of us is not that our aim is too high and we miss it; but that our aim is too low and we reach it”

Michelangelo

mailto:[email protected]

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Habit 7 of a RIM Program · 7 Habits of a RIM Program Measure and Improve Measure The Program...

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