The Principles: How we incorporated them into our Business Process by Lawrie Barroner.

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Introduction Old Business Process Our Issue Long written reports were often overlooked Lacked quick reference grading scale

Our Goal Needed to be S.M.A.R.T. S pecific M easurable A ttainable R elevant T imely

Our Search was on…

The Principles

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

Survey Discussion

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

LevelQualifications 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.

LevelQualifications 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 – Compliance Principle 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 Training 2. Conduct a Inventory of their Records 3. Develop a File Plan based on the Inventory 4. File Records based on the File Plan 5. Move Records to the Approved Electronic Records Management Application (TRIM) 6. Classified Files Handling 7. File Classified and Unclassified 8. End of Life Cycle Actions

Criterion 1 RM Training Criterion 2 Identify Records Criterion 3 Develop File Plan Criterion 4 Build File Folders Criterion 5 ERM (TRIM) Criterion 6 Classified Files Handling Criterion 7 File Classified & Unclass Criterion 8 End of Year Actions Sub-Standard 0 – 1.99 In Development 2 – 2.99 Average 3 – 3.99 Proactive 4 – 4.99 Meets Standard 5 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 Sub-StandardIn DevelopmentAverageProactiveMeets Standard

So we adjusted the Maturity Level model to meet our needs…we moved the Orange to Yellow and the Blue to Green… Sub-StandardAverageMeets 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) Percent Complete Records Mgmt 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 Overall46.42% Office A50.2% Office B62.7% Office C37.6% Office D43.9% Office E37.7% 0 – 33 %33.1 – 66%66.1 – 100% 46.42% OVERALL New Scoring Method

Remember to keep you goals S.M.A.R.T. S pecific M easurable A ttainable R elevant T imely

Questions?