The Principles: How we incorporated them into our Business Process by Lawrie Barroner.
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Transcript of The Principles: How we incorporated them into our Business Process by Lawrie Barroner.
• Introduction• Old Business Process
• Our Issue• Long written reports were
often overlooked• Lacked quick reference
grading scale
The Principles Defined
A mid-level manager manages the recordkeeping program for the division and delegates program responsibility to appropriate individuals. The
division adopts policies and procedures to guide personnel and ensure the program can be
audited.
The Principles Defined
The processes and activities within the divisions recordkeeping program are documented in a
manner that is open and available to all personnel within the division. Orders,
directives, business processes and workflow are outlined and available to all. Records
Management personnel are selling the program through training and promotion.
Principle of Transparency
The Principles Defined
A recordkeeping program shall be constructed so the records and information generated or managed by the division have
reasonable and suitable guarantee of authenticity and reliability.
The Principles Defined
A recordkeeping program shall be constructed to ensure a reasonable level of protection to records and information that are private, confidential, privileged, secret or essential to business continuity.
The Principles Defined
The recordkeeping program shall be constructed to comply with applicable laws and
other binding authorities, as well as the divisions policies which include holding
organizations and individuals accountable for not complying.
The Principles Defined
A division shall maintain records in a manner that ensures timely, efficient and accurate retrieval of needed information.
The Principles Defined
A division shall maintain its records and information for an appropriate time, taking into account legal, regulatory,
fiscal, operational and historical requirements.
The Principles Defined
A division shall provide secure and appropriate disposition for records that are no longer required to be maintained
IAW their disposition schedule.
Principle of Disposition
Our team decided to focus on The Principle of Compliance…
We believed the other 7 Principles would follow if the Principle of
Compliance was established first.The Principle of Compliance is: The recordkeeping program shall be
constructed to comply with applicable laws and other binding authorities, as well as the
divisions policies which include holding organizations and individuals accountable for
not complying.
Please note…that we already had a developed Retention Schedule and
General Governance outlining Records Management expectations.
Our issue was getting buy-in from the divisions and getting them to take Records Management seriously.
So we created our Maturity Levels for Compliance to determine how to score the
different divisions
Level
• There is no clear definition of the records that the organization is obligated to keep.
• Records and other business documentation are not systematically managed according to records management principles.
• Various branches of the section define this to the best of their ability based on their interpretation of their Records Management Program rules and regulations.
• There is no central oversight and no apparent or well-defined accountability for compliance.
Qualifications
Level Qualifications
• The rules and regulations that govern its mission and introduced some compliance policies and record keeping practices around those policies, have been identified.
• This includes compliance policies regarding Electronic Information Systems (EIS), PII and TRIM process throughout the division.
• Additionally, the division has initiated a System of Records Notice (SORN) for their EIS systems.
Level Qualifications
• All relevant compliance laws and regulations have been identified.
• Record creation and capture are systematically carried out in accordance with Records Mgmt. Policies.
• A strong code of mission conduct which is integrated into its overall information mgmt. structure and recordkeeping policies have been developed.
• Compliance and the records that demonstrate it are highly valued and measurable.
• Specific goals related to compliance have been identified.
Level Qualifications
• Processes to capture & protect records have been implemented.
• Records are linked with metadata to demonstrate and measure compliance.
• Training & internal SAVs are conducted regularly.• Records of SAVs & training are available for
review.• Lack of compliance is remedied through
implementation of defined corrective actions.• ID’d & submitted request to schedule their EIS’s.• Processes for PII and use of TRIM throughout have
been established.• SORN’s have been completed for their EIS systems.
The Principles – CompliancePrinciple and Maturity Level Definitions
• The importance of compliance and the role of records & information in it are clearly recognized at the senior leadership levels
• Continuous improvement processes are well established & monitored by senior leadership.
• The roles & processes for information management and discovery are integrated.
• The division’s stated goals related to compliance have been met.
• The division suffers few or no adverse consequences based on SOPs and compliance failures.
Level Qualifications
Once we all agreed the Compliance Principles were defined to meet our
objectives…
We then focused on and adapted our 8 Criterions as a means to move through
the Records Management Process…This along with the Principle of Compliance
provided the standard to develop a measurable scale
8 Criterions
1. Records Management Training2. Conduct a Inventory of their Records3. Develop a File Plan based on the Inventory4. File Records based on the File Plan5. Move Records to the Approved Electronic
Records Management Application (TRIM)6. Classified Files Handling7. File Classified and Unclassified8. End of Life Cycle Actions
Criterion 1RM Training
Criterion 2Identify Records
Criterion 3Develop File
Plan
Criterion 4Build File Folders
Criterion 5ERM
(TRIM)
Criterion 6Classified
Files Handling
Criterion 7File
Classified & Unclass
Criterion 8End of Year
Actions
5 5 5 5 1 5 5 2
1 2 3 4 5
Sub-Standard0 – 1.99
In Development2 – 2.99
Average3 – 3.99
Proactive4 – 4.99
Meets Standard5
Divide the total by 8 (33/8= 4.125)
The overall grade on this example would be Blue/Proactive
Add up the total score from the eight criterions (33)
Initial Scoring Method
5 Colors was too many and our Leadership wanted a true 3 Color
‘Stop Light’ chart
1 2 3 4 5Sub-Standard In Development Average Proactive Meets Standard
So we adjusted the Maturity Level model to meet our needs…we moved the Orange to Yellow and the Blue to
Green…Sub-Standard Average Meets Standard
And a true ‘Stop Light’ Scale was born. Red is bad…Yellow is in between…Green is good!
Complete(12.5% Value) In Progress(6.3% Value)Initial Phase (No Value)
PercentComplete
RecordsMgmt
Training
Records Inventory
File Plans Drafted /
Submitted for
Approval
Physical and
Electronic File Folders
Built
TRIM Queues
Built and Final
Records into TRIM
Classified Files
Handling
File Classified & Unclassified
End of Year
Actions
Overall 46.42%
Office A 50.2%
Office B 62.7%
Office C 37.6%
Office D 43.9%
Office E 37.7%
0 – 33 % 33.1 – 66% 66.1 – 100%
46.42%
OVERALL
New Scoring Method