Mailcom 2011 Records & Information Handout
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The document provides an overview of records and information management. It defines what constitutes a record, outlines the lifecycle of records from creation to disposition, and discusses the benefits of effective records management programs. These include improved efficiency, compliance with legal requirements, and reduced costs. The document also covers topics such as records values, international retention periods, ISO standards, and related professional organizations.
![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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![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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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. Copyright © 2011 William L. Ware MAILCOM 2011 3
- 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. Copyright © 2011 William L. Ware MAILCOM 2011 4
- 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. Copyright © 2011 William L. Ware MAILCOM 2011 6
- 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 Copyright © 2011 William L. Ware MAILCOM 2011 7
- 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 Copyright © 2011 William L. Ware MAILCOM 2011 8
- 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 Copyright © 2011 William L. Ware MAILCOM 2011 9
- 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/ Copyright © 2011 William L. Ware MAILCOM 2011 10
- 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 Copyright © 2011 William L. Ware MAILCOM 2011 11
- 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 Copyright © 2011 William L. Ware MAILCOM 2011 12