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Putting the 'People' in People, Process, and Technology Susan Cisco, Director, Gimmal Sue Trombley, Managing Director, Iron Mountain Consulting.

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Presentation on theme: "Putting the 'People' in People, Process, and Technology Susan Cisco, Director, Gimmal Sue Trombley, Managing Director, Iron Mountain Consulting."— Presentation transcript:

1 Putting the 'People' in People, Process, and Technology Susan Cisco, Director, Gimmal Sue Trombley, Managing Director, Iron Mountain Consulting

2 Today’s Topics  Unified Records Management (URM)?  Records Coordinator Networks Survey Results  Emerging Best Practices  Q&A

3 What is URM? Unified Records Management enables consistent management of all records and information, physical and electronic, through their lifecycle, apply policy for retention and destruction, and simplify RM processes on a common platform

4 As organizations move forward with URM, they are asking who will assist with the implementation of URM Traditional “Records Coordinator” role directed at physical records: – Coordinate cleanup events – Assist with applying/releasing retention holds – Manage off-site storage and retrieval of physical information stored with third party vendors Up-to-date guidance on Records Coordinator networks is lacking Renewed Interest in Records Coordinators

5 Records Coordinator Networks Survey Results

6 Zoomerang Survey Because of their depth of RM knowledge and experience, the survey population was CRMs Identified addresses for 886 of 911 active CRMs Launched survey April 19: – Delivered 838 surveys to valid addresses – Received 97 responses (12%)

7 Government, Defense, Public Service19% Utilities, Oil & Gas18% Banking, Finance, Insurance13% Professional Practices (Law Firms, Consultancies) 11% Manufacturing, Wholesale, Retail6% Chemicals, Pharmaceuticals, Plastics & Metals 4% Education, School, R&D4% Information Technology3% Healthcare2% Other19% Industry Sectors (n=94)

8 1-100 Employees5% 101-1,000 Employees25% 1,001-5,000 Employees23% 5,001-15,000 Employees20% 15,001-30,000 Employees13% 30,001-50,000 Employees4% 50, ,000 Employees4% More than 100,000 Employees6% 43% Number of Employees (n=79)

9 Definition of Records Coordinator (RC) in Survey “Serves as liaison between their department or location and records management staff and provides support for implementation of the organization's recordkeeping policies, procedures, standards, and guidelines at the department/location level.”

10 What Name Is Used for RC Role? (n=80)

11 1987 or earlier19% % % % 2011 to present8% 61% When Was RC Network Established? (n=75) More than half (61%) began in – Scandals of the early 2000s (Enron and WorldCom) – Sarbanes-Oxley Act 2002 – Amended Federal Rules of Civil Procedures 2006 – Others: FACTA, HIPAA, GLB,…

12 ACTUAL RATIO – Staff/RCIDEAL RATIO – Staff/RC 977 / 1625 / 1 RC to Staff Ratio (n=76) Number of RCs at 64% of desired state – Not a question of talent, but scale – Budget constraints – Competing priorities

13 Is Electronic RM an RC Function? No, physical only51% Maintain inventories of business information assets in electronic format 34% Check that large record repositories such as imaging and document management systems are properly classified for retention 30% Check that records in shared drives are properly classified for retention 26% Activate retention events for event-based retention periods such as "Termination of employment + x years" and "Expiration of contract + x years" 23% Participate in imaging feasibility studies and/or quality control of scanning operations 19% Check that records are properly classified17% Act as a Team Site or Site Collection Administrator for SharePoint 9%  Respondents could give more than 1 response

14 What Functions Do RCs Perform? Liaise with the organization's Records Manager/RM Officer91% Check that physical records sent to offsite storage are properly classified and packaged 75% Coordinate activities for record cleanup events71% Notify Records Manager/RM Officer when there is a need to revise recordkeeping policies, procedures, & guidelines 70% Coordinate record destruction activities70% Train staff members on implementing the recordkeeping procedures 61% Interpret recordkeeping policies, procedures, and guidelines 49% Conduct or participate in RM audit activities47% Apply/release retention holds23% Other (i.e., compliance self-assessment, IM solution design) 18%  Respondents could give more than 1 response

15 1-10%70% 11-25%20% 26-50%4% 51-75%1% %4% 90% What % of Time Is Spent on RC Role? (n=74) 90% spend less than 26% of time – Majority (70%) spend 1% - 10% of their time in the Records Coordinator role

16 How Are RC’s Developed? Train them on the role of the Records Coordinator76% Train them on the principles & practices of records management for both paper and electronic records 65% Make Records Coordinator function a part of each coordinator's job description 31% Make Records Coordinator function a part of each coordinator's performance appraisal 26% Train them on legal issues such as eDiscovery27% Empower them with public support from senior management 26% No formal training given18% Other *23%  Respondents could give more than one response * Train them on legal issues regarding HIPAA and HITECH * Regular meetings and hands-on support when needed

17 What Tools Are Provided to RCs? Web-based training modules52% Lunch & learn meetings48% Records management software39% Industry association training17% Metadata management training and tools14% Other *32%  Respondents could give more than one response * 6% mentioned regular internal meetings: Annual update meetings Monthly network meetings Quarterly meetings with Records Management

18 Biggest Challenge (n=71)  Lack of support from executive level - “Raising awareness at the ‘C’ level that RM is critical to success; change perception from a ‘chore’ to a critical part of business continuity & acknowledge performance”  Mobility of Records Coordinators, turnovers, transfers - “Probably our greatest challenge is keeping our information/directory of records coordinators up to date. We really do have hundreds of records coordinators … and the turnover is pretty large.”

19 Records Coordinator Networks Best Practices

20 Biggest Success (n=62)  “Awareness of records management and the requirement to dispose of records in a timely and secure manner has increased dramatically. Production of video training targeted at different layers of management has brought RIM awareness to the forefront.”  One very large team (5000 employees) created 3 functional teams who oversee 3 major business functional areas and are working with sites and departments to implement file plans and gather more detailed inventory lists.

21 Biggest Success (n=62)  “Their [RCs] ability to prepare their departments for the annual compliance audits and taking ownership and pride in the audit results.”  “Willingness to learn, enthusiastic about wanting to clean up share drives, ready to embrace technology to streamline recordkeeping.”  “Building a global 600-person community in a two- year period, and developing training tools and communication templates for them to use with their business units.”

22 The Commitment/Practice Divide 94% more budget 80% have formal policies 63% inconsistently applied policies 64% provide training 72% no strategic plan Only 15% audit & review

23 77% have formal, policy-driven processes to protect private information from unauthorized or inadvertent access Unified Records Management 83% report that they are unable to locate hardcopy records when needed, due in large part to the fact that not all records, across all locations, are indexed Only 35% say they can classify and index user-created electronic records at time of creation or later in their lifecycle Establish a foundation Unify physical records Unify electronic records

24 Best Practices Put the “I” in Records Coordinator by extending RC role to electronic records Support the RC network with an online community (blogs, team site), monthly conference calls, weekly FAQ sessions, coordinator of the month recognition, multimedia training, annual objective templates, etc.

25 Best Practices Make RC role a part of each RC’s job description and performance appraisal; use of acknowledgment agreements Create a “buddy” system to hedge against turnover Extend awareness of records and information management to all employees to lighten RC’s load

26 Case Studies Government agency grew from 1 FTE RC to 12 in 2 years. Constant re-enforcement of risk to leadership through scenarios, real and imagined Increased networking with IT – including input to technology selection and implementation 26

27 Case Studies Global corporation addressed media neutral records management through creation of records coordinator and IT representative pairs for each operating company/business unit Partnership increases RC erecords/technology understanding 27

28 Where Do We Go From Here?  RC strategy  Focus on unification of paper and electronic records  Change management  Training  On-going communication

29 Questions & Answers 29 THANK YOU!


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