Conducting a Records Clean Out

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Conducting a Records Clean Out

Records Management

04.11.2009

Mario Rieger

11/4/2009 1Mario Rieger - Records Manager -

Conducting a Records Clean-Out


Decrease Discovery-Related CostsBetter organization of documents by employeesReduce time in searching for documents

Decrease Exposure to Future LitigationReduce risk of finding documents that can be used in futurelitigation

Create Positive RM Program DocumentationProvides evidence of “Good Faith Effort” to properly maintainrecords

Improve Employee ProductivityCleaner, better organized workspacesBetter understanding of where key records stored

Why Conduct A Records Clean-Out

11/4/2009 Mario Rieger - Records Manager - 3

Records Management Policy that includes Record Retention Schedules

Legal Department has List of all Current Document Hold Notices

A Records Manager or a Staff Member who acts as the de facto Head of Records Management

Pre-Conditions for a Records Clean-Out

Must Have the Following Pre-conditions:

Conduct a formal Cleanout 1/year (unless site-wide suspension in affect

Cleanouts should include paper and electronicClearance must be obtained from Tax Mgr to cleanout tax

and finance documentsCurrent report of open litigation related to company must be

obtained from Law DepartmentTraining and communication should take place prior to

cleanouts to ensure employee understandingCleanout results should be reported to Management Board:

Amount of paper destroyedAmount of electronic records deletedParticipation Rates

Standards for a Records Clean-Out


Steps to Perform a Records Clean-Out:Plan for Records Clean-Out Day(s)Notify legal department of proposed record clean-out date(s)Request and obtain clean-out approval Meet with IM to perform before and after snap shotsMeet with Corporate Communications for distribution of marketing

materials and announcementsDistribution of MaterialsPerformance of Annual Clean-OutThe Day After the Annual Record Clean-Out DayGather Reporting Information Document Lessons LearnedReporting

The Road Map for a Records Clean-Out


Important Questions to be Answered:Is there a consequence for employees who do not

participate in Records Clean-Out?What should the pace be for this event? Whole company on

the same day or separate days for business units, plants, etc.What date(s) should the clean-out be held?Do we have the funds available for the shredding, internal

marketing, training meetings, etc.?Are there groups of employees that do not possess any

records that can be excluded from Records Clean-Out?Are there departments affected by Document Hold Notices

that should be excluded from Records Clean-Out?

Planning for a Records Clean-Out


Establish the Date(s) and Plan the Annual Clean-Out Meet with Facilities department and Shredding Vendor

Decide on whether to do the Record Clean-Out all on the same day or separately by plant, campus, business unit, etc.

Finalize Date(s) of Record Clean-OutFinalize responsibilities for Facilities, Shredding

Vendor, and Records ManagementFinalize method and resources to be used for

Record Clean-Out

Planning for a Records Clean-Out


Notification of the planned Record Clean-Out is required at least 4 weeks in advance. This allows the Law Department sufficient time to generate a Hold Notice report inclusive of all active cases.

Notification is performed through a verifiable process.

Notifications for a Records Clean-Out


Approval must be obtained prior to Annual Records Clean-Out Day from:

Tax ManagerLaw Department (through notification process)

All approvals should be documented by memo or email

Request Approval for a Records Clean-Out


Information Management is one of your partners in performing an annual Records Clean-Out

Meet with the appropriate IT Manager requesting a before and after snapshot of all the server capacities.

Also, a joint memo from both IT and RM as part of the communication process is a great way to show IT support of the annual record clean-out.

Meet with Information Management


Corporate Communication is also one of your partners in performing an annual Records Clean-Out

Meet with the appropriate Corporate Communication Manager to discuss your communication needs:

Date(s) of Records Clean-OutCommunication Prior to Clean-Out Day(s)Communication on Clean-Out Day(s)

Take some examples of your communication package if possible

Ask them for their ideas for communicating the annual records clean-out

Meet with Corporate Communication


Letter from the PresidentRecords Clean-Out Materials

Participation FormLifting ReminderFAQRecords Coordinator Training materials

Marketing MaterialPostersCorporate Communication Announcements

Prepare the Materials for a Records Clean-Out


Letter from the President – 2 weeks prior Joint Letter from IM and RM – 10 days priorPosting on company portal page – 10 days priorPosters put up in buildings – 7 days priorInformation/Instruction Package via email – 5

days priorRecords Coordinator Training – 1-5 days priorPortal Page Streamer – on clean-out day

Distribution of Materials for a Records Clean-Out


Remove all posters from the buildings

Ensure all bins, etc. are removed

The Day After Clean-Out Day


Before and After Snapshot from IM

Tons of paper Shredded from Facilities and/or shredding vendor

Collect Participation Forms via inter-office mail

Gather Reporting Information


Document the lessons learned from the clean-out day. Include:

All the things that went as plannedAll the things that didn’t go as plannedThings that need to be changed for next years

clean-out dayReporting information

Lessons Learned


Report all of your performance measures to Management Board via a email

Electronic records deletedTons of paper destroyedNumber of participants

Keep reporting information for documenting the Records Management Assessment for the year

Report your performance measures to your senior management

Official Reporting


Conducting a Records Clean Out

Documents

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