ITS 83340 University of San Francisco Week 5 IG and Information Management Functions Paper Chapter Nine (9): Information Governance (IG) and Records and In

ITS 83340 University of San Francisco Week 5 IG and Information Management Functions Paper Chapter Nine (9): Information Governance (IG) and Records and Information Management Functions. From the Chapter, we have learned from that Records Management (RM) is a key impact area of IG – so much that in the RM space, IG is often thought of as synonymous with or a single superset of RM. From that perspective, the International Organization for Standardization (ISO) defined business records as “information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction in the form of records.”

Q1: To further enhance our knowledge and understanding of RM, ISO provided a more refined definition of RM to a granular level as “[the] field of management responsible for the efficient and systematic control of what…? Identify and complete the missing phrase to directly complete the granular definition?

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Make an argument concerning the topic. ITS 833 – INFORMATION
GOVERNANCE
Chapter 9
IG AND RECORDS AND
INFORMATION MANAGEMENT
FUNCTIONS
Dr. Geanie Asante
Copyright©2019 Geanie Asante
All Rights Reserved
CHAPTER GOALS AND OBJECTIVES

Know what is records management

How to implement ERM (electronic records
management

Benefits of ERM

Principles followed in ERM

Why is ERM so challenging?

What is involved in inventorying electronic
records?

What are the steps in inventorying e-records?

What are the challenges associated with e-records
inventorying?

What is the purpose or reason for e-records
inventory?

Type of information to be collected in the
inventory process

Who should conduct the e-record inventory?

Approaches to the e-record inventory process?

Be able to conduct an e-record inventory using
the survey method

Be able to conduct an e-record inventory using
the questionnaire method

Be ale to combine the survey method and then follow up using the questionnaire method

What is record appraisal? What is it used for?

What principles are involved in retention scheduling?

What is retention scheduling?

How would you go about developing a records retention schedule?

Why are retention schedules needed?

What type of information would be included on a retention schedule?

What steps would you use to develop a retention schedule?

What is an information map? What is it used for?

What do you do if you don’t have an information map?

What are the basic classification of records?

What is the difference between a business function and a business activity?

What is a “document type”?

What is a record series?

What is the rationale for records groupings?
Copyright©2019 Geanie Asante
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CHAPTER GOALS AND
OBJECTIVES…continued

How will you know the legal requirements for retention and destruction?
What is a case record?


What is event-based retention?

How is event-based retention different when dealing with government entities?

What are subject records?

What are the prerequisites for event-based disposition?

Are emails records?

What is the criteria for final disposition and closure?

What are typical closure dates?

What guidelines would you use to
determine whether an email message
should be considered a business record?

What is a transitory record?

Final steps before implementing a retention and disposal schedule

How long should old emails be kept?

How will determine how long to retain old
email records?

What is a limitations period?

What is the most important consideration
in determining the retention period and
destruction of records?
Copyright©2019 Geanie Asante
All Rights Reserved
RECORDS MANAGEMENT AND
INFORMATION GOVERNANCE ARE
NOT THE SAME THING
“Record” – information created, received and maintained as evidence and information by an
organization or person, in pursuit of legal obligations or in the transaction of business – (ISO
definition)
“Records 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. Traditionally, used more often in highly regulated
industries such as banking, energy, pharmaceuticals.
RIM – Records and Information Management – beyond RM to include information –data, edocuments and reports. Must include policy retention and disposition.
Electronic Records Management (ERM) – Organization, management, control, monitoring, and
auditing of formal business records that exist in electronic form. Applies business rules to
manage the maintenance, preservation and disposition of records.
Same principles as for traditional paper-based records management

Classification

Taxonomy

Retention

Disposition
What
Copyright©2019 Geanie Asante
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More Definitions!
Information Governance: Policies, processes, and technologies used to
manage and control information throughout the enterprise to meet
internal business requirements and external legal and compliance
demands
Enterprise Content Management (ECM) – Encompasses all of an
organizations unstructured digital content including but not limited
to comprised of ERM, Web Content Management, digital asset
management, enterprise report management, and other
technology sets
Copyright©2019 Geanie Asante
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Records Management Business
Rationale
Why is RM important in nearly every industry now?
❑
Increased government oversight and industry
regulation
❑
❑
Sarbanes-Oxley (SOX)
Changes in legal procedures and requirements during
civil litigation
❑
Changes in FRCP in 2006
❑
IG Awareness
❑
Business continuity concerns
Copyright©2019 Geanie Asante
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Records Management
?
Why has formal RM become so challenging and costly?
✓
Changing and increasing regulation
✓
Maturing IG requirements
✓
Managing multiple retention and disposition schedules
✓
Compliance costs and requirements with limited staff
✓
Changing information delivery platforms
✓
Security concerns
✓
Dependence on IT department or provider
✓
User Assistance and compliance
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BENEFITS OF ELECTRONIC RECORDS
MANAGEMENT
IS IT WORTH IT???
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
Time Savings
Cost Savings
Building Space Savings
Strategic Advantages
Improved capabilities to enforce IG
Improved, more complete and accurate searches
Improved knowledge worker productivity
Reduced risk of legal consequences for failure to be compliant
Improved record security
Improved ability to demonstrate that your organization is using
legally defensible RM practices
Increased working confidence in making searches
Copyright©2019 Geanie Asante
Improved decision making
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BENEFITS OF ELECTRONIC RECORDS
MANAGEMENT
IS IT WORTH IT???…continued
❑
There are additional intangible benefits of ERM
Better control over the creation and growth of records
Improved ability to assimilate new record management
technologies
Increased ability to safeguard vital information
Ability to preserve the “corporate memory”
Increased ability to foster professionalism in running the
business
Copyright©2019 Geanie Asante
All Rights Reserved
INVENTORYING E-RECORDS
U.S. National Archive and Records Administration (NARA)
defines an “inventory” as: A descriptive listing of each
record series or system together with an indication of
the location and other pertinent data.
Make sure you understand that it is not a list of each
document o each folder but rather each series or system.
Copyright©2019 Geanie Asante
All Rights Reserved
Inventorying E-Records continued…


Difficulty compared to physical inventory?
Purpose of inventorying e-records?

This is the first step in gaining control over an organization’ records and
implementing IG measures .

Same as physical –find problems and use it as a source for developing a retention schedule.
•
Type of problems it can uncover?
•
Inadequate documentation of official actions
•
Improper applications of technology
•
Deficient filing systems
•
Deficient maintenance practices
•
Poor management of non-record materials
•
Insufficient identification of vital records
•
Inadequate record security practice
Copyright©2019 Geanie Asante
All Rights Reserved
continued…
We have said the purpose is the same as for inventory of
physical records….but what do we mean?
You want the completed inventory of records to contribute to the pursuit of an
organization’s IG objective in a number of important ways……benefits of
completing you records inventory
✓
Lets you identify ownership and sharing internally and externally
✓
Determines which records are physical and which are electronic
✓
Provides a basis for retention and disposition
✓
Improves compliance capabilities
✓
Supports training objectives
✓
Identifies vital and sensitive records needing more security
✓
Assesses the quality and appropriateness of records
✓
Supports the release of information under FOIA, Data Protection Act and other
release requirements
Copyright©2019 Geanie Asante
All Rights Reserved
Inventorying E-records continued…

•
NARA recommends inventory be done at the computer system level.

Why is that such “Big deal”?

Because it is a deviation from the past
Be mindful of the following:
•
You should rely on the people who create and use the records a they will be a
good resource
•
RM is something that everyone wants but nobody wants to do it
•
People who work with these records will be hard to sell on a new approach
Copyright©2019 Geanie Asante
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Generally Accepted
Recordkeeping Principles
(GARP)®
➢
➢
TIP:
Use an established model to guide you in records inventory –
don’t reinvent the wheel
➢
DIRKS (Designing and Implementing Recordkeeping
Systems) – Australia
➢
Generally Accepted Recordkeeping Principles (GARP)®
used in the United States
➢
Copyright©2019 Geanie Asante
All Rights Reserved
Focus is on regulations, risk mitigation,
environmental and operational requirements
Conduct inventory of e-records with
certain objectives in mind
➢
Provide a survey of existing e-record situations
➢
Locate and describe the organization’s electronic records
holdings
➢
Identify obsolete-records
➢
Determine storage needs
➢
Raise awareness within the organization
➢
Identify archival records
➢
Leads to e-record keeping improvements
➢
Raises awareness and leads to development o needs
assessment for future
➢
Provides organization with a written records management
plan
Copyright©2019 Geanie Asante
All Rights Reserved
GOALS FOR THE INVENTORY
PROJECT
Make sure the goal is attainable
➢
Make sure the stakeholders know the goals
➢
Segment your efforts into smaller units
➢
➢
This might mean define the scope as a certain time frame,
or the scope might be just a certain functional area of the
business
Reinforce the goal periodically and in different ways
Copyright©2019 Geanie Asante
All Rights Reserved
SO….How do you go about
conducting and electronic record
inventory
This is according to
NARA guidelines:
1.
Defines Inventory Goals
2.
Define the scope of the inventory
3.
Obtain top level management support
4.
Decide on the information to be collected
5.
Prepare an inventory form
6.
Decide who will conduct the inventory
7.
Proper training for those performing inventory
8.
Learn where the organization’s business files are located
9.
Conduct inventory
10.
Verify and Analyze the results
Copyright©2019 Geanie Asante
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AND….What do you collect with
the electronic record inventory
At a minimum you will want to collect the following information:
1.
What kind of record it is (contract, or financial report, or memo)
2.
Which department owns it
3.
Which departments have access to it
4.
What application created the records (i.e., email, MS WORD,
Acrobat PDF, etc.)
5.
When was the record created
6.
When was the record last changed
7.
Is the record a “vital” record (i.e. is it critical to the
organization)
8.
Whether there are other form of the record (example, it was
created in WORD but later converted to a PDF file
Copyright©2019 Geanie Asante All Rights Reserved
TOOLS TO USE IN CONDUCTIONG THE
INVENTORY – NETWORK DIAGRAM
Lay out the overall topology of the IT
infrastructure in the form of a network diagram
 Before you begin the inventory it will benefit
you to diagram your IT infrastructure……This
permits you to…
 Helps you understand where to target efforts
 Helps in understanding and mapping
information flows
 It is a very helpful reference
 HINT: Start at the central computing room
and then follow the connections
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TOOLS TO USE IN CONDUCTIONG THE
INVENTORY – RECORDS INVENTORY SURVEY
SO IMPORTANT TO GET THIS SURVEY FOR RIGHT!
IT MUST SUIT ITS PURPOSE
➢
You do not want to collect data that is not
relevant, but you must be sure that you are
collecting all the needed data elements
➢
These forms are commonly used in
organizations….you should be able to get one
and modify it to meet your needs for an einventory
Copyright©2019 Geanie Asante
All Rights Reserved
Who Will Conduct the
Records Inventory Survey?
Generally – Records
Management
Project Team is
formed to conduct
the survey
➢ Assisted by others
outside the business
unit
➢
➢
May be IT staff
members
➢
Business Analysts
➢
Legal Staff
➢
Specialists/consultants
Copyright©2019 Geanie Asante
All Rights Reserved
➢
Important to those
conducting the
survey:
➢
Training in:
➢
Survey methods
➢
Analysis
CONDUCTING THE INVENTORY…
THE APPROACHES

Approach I


Distributing and
Collecting surveys

Traditional approach

Relatively
inexpensive

Relatively fast

Problem: Lack of
Consistency
Approach II


Approach III

Direct Observation

Will require more training
and better understanding of
the process

Begin in central computer
room and work your way
out
IF TIME AND MONEY PERMIT,
THE BEST IS TO USE ALL THREE
Conducting in-person
interviews

Frequently a followup after initial
survey
Copyright©2019 Geanie Asante
All Rights Reserved
Example of
Records
Inventory
Survey
Form…Pages
161-163 of
text book
Example of
Records
Inventory
Survey
Form…Pages
161-163 of
text
book…contin
ued
Example of
Records
Inventory
Survey
Form…Pages
161-163 of
text
book…contin
ued
CONDUCTING THE INVENTORY…
THE INTERVIEW APPROACH
❖
THIS IS A GOOD SOURCE OF INFORMATION!
❖
This method is time sensitive, so…. You need to make sure you
have identified the proper people to interview
❖
Make sure to interview representatives from all functional area and
levels of the program or service:
❖
Managers
❖
Supervisors
❖
Professional/technical staff
❖
Clerical or support staff
❖
Make sure to include a cross-section who make decisions based upon
information contained in the e-records
❖
Make sure to be considerate of the time of those you are interviewing
(and don’t make your executive sponsors think you are wasting
everyone’s time…Give advanced notice, follow-up to confirm
appointments, stay within scheduled time, keep interviews under and
hour …and DON’T BE LATE
Copyright©2019 Geanie Asante
All Rights Reserved
Example
of
Interview
Question
naire
Page 167
from text
book
DETERMINING THE VALUE
OF RECORDS
HOW?
WHY?

It is part of the
process of
determining
questions related to
retention and
disposition schedule
of records…the
value assigned to a
record affects the
retention policy for
the record
Copyright©2019 Geanie Asante
All Rights Reserved
“Records Appraisal” – Analysis
of all records within an agency
or business to determine their
administrative, fiscal,
historical, legal or other
archival value

Goal is to determine how long,
in what format and under what
circumstance a record series
will be preserved

Will be based upon results of
the e-records inventory
HOW DO YOU ENSURE THE ORGANIZATION
WILL ADOPT AND COMPLY WITH THE RM
POLICY??

Make sure that
everyone in the
organization is involved
in records management –
the person who creates or
receives the record is the
best person to classify it

Don’t “micro” classify Average worker does
not want to spend a
great amount of time
classifying records –
have only a few broad
classifications
Copyright©2019 Geanie Asante
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
Talk the talk – from the
top – have senior level
steering committee with at
least executives from legal,
compliance and IT

Walk the walk –

Measure the measurable-
Communicate to everyone
in the organization what
the policies and where they
can find them. Adopt
rigorous training
measure the adherence to
policy and adoption of
processes where possible
GENERAL PRINCIPLES OF
RETENTION SCHEDULING
➢
A SERIES OF PRINCIPLES IS COMMON TO ALL RETENTION
SCHEDULES
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➢
The retention schedule must include all records regardless of media and
location
➢
All legal and regulatory requirements for records must be reflect in the
record scheduling process
➢
Records scheduling should be proactive, involving setting schedules in
advance and standardizing the process
➢
When there are substantial or significant changes in legislation, technology
and other…and even if no change, still at least annually
➢
Update and amend the process based upon changes in legal, technological or
business changes over time
➢
Files series that have similar characteristics should be dealt with consistently
➢
Preserve records of historical value
➢
Optimize RM resources and minimize record keeping costs
GENERAL PRINCIPLES OF RETENTION SCHEDULING
➢
A SERIES OF PRINCIPLES IS COMMON TO ALL
RETENTION SCHEDULES…..continued…
➢
The records must be retained in a repository (like a file
room or software system) where the record is protected in
order to maintain its integrity
➢
Senior management must approve and sign off on the
retention schedule
➢
Senior management must be able to readily review the
policy, schedule, policy documentation and audit results
➢
There must be complete documentation for the retention
policy, requirements and activities
Copyright©2019 Geanie Asante
All Rights Reserved
WHY DO YOU NEED A RECORD
RETENTION SCHEDULE?
✓
✓
Allows for uniformity in the retention and
disposition process, regardless of the media
or location of the records
Tracks, enforces and audits the retention
and disposition of records, optimizing the
amount of records kept to the legal
minimum
✓
SO WHAT? Why is that important?
✓
Saves on capital costs
✓
Saves on labor costs
✓
Reduces liability
Copyright©2019 Geanie Asante
All Rights Reserved
HOW DO YOU GO ABOUT DEVELOPING
THE RETENTION SCHEDULE?
➢
What is a record retention schedule?
It is something that defines the length of time that records
are to be kept.
➢ It is developed after considering the legal, regulatory,
operational and historical requirements
➢ It will include direction on how the length of time is
calculated (i.e. the start date for counting the retention
time)
➢ It is developed only after completing legal research and
consultation with the users of the record and the owner of
the record (you may determine after consultation to retain
records beyond the legally required period)
➢
➢
Give strong advice to the users/owners who want to keep the
records beyond the legally required period as this may open
the organization up to the potential for otherwise
unnecessary liability
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All Rights Reserved
DISPOSITION AS PART OF
RETENTION
➢
What is meant by disposition?
➢
Destruction
➢
Archiving
➢
Transferring
➢
Changing ownership
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WHAT TYPES OF THINGS ARE INCLUDED
IN THE RECORD RETENTION SCHEDULE?



Title of the record
Description of the record
series
Office responsible for
retention of the record


By default this is the office of
origin but can change




Method of Disposition

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All Rights Reserved
Timing of the disposal
Remember the default is
the minimum time legally
required
…
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