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RECORDS AND INFORMATION
ADD Organization LOGO SAMPLE RECORDS AND INFORMATION MANAGEMENT TRAINING Presented by the ADD MONTH 20XX
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Agenda 1 Basic Records Management Information and Best Practices
Records Management Introduction Key Definitions Records Lifecycle Records and Information Management Program Key Roles and Responsibilities RIM Program Policy Schedules Education and Training Maintenance Testing SAMPLE TRAINING - Organization NAME AND DEPARTMENT MONTH 20XX
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2 Learning Objective The objective of this training is to provide you with the fundamental tools to develop and implement a successful records management program within your organization. SAMPLE TRAINING - MONTH 20XX
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3 Basics - Introduction Records and information management (RIM) is the field responsible for the efficient and systematic control of the creation, distribution, use, maintenance, and disposition of records. A good records management program has proper retention and disposition practices that make it easy to access, find and when necessary dispose of records. SAMPLE TRAINING - MONTH 20XX
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Basics - Key Definitions
4 Basics - Key Definitions Records Active Records Non-Active Records Non-Records Legal Holds Transitory Records Vital Records SAMPLE TRAINING - MONTH 20XX
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Records Lifecycle 5 Disposition Destruction USE Archive Create Receive
Transient/Retention Period Expired Long Term Destruction Do Not Use USE Archive ON-SITE STORAGE SAMPLE TRAINING - MONTH 20XX
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6 RIM Program Records and information management program (“RIM Program” or “program”) helps ensure efficient management of an organization’s records. RIM Program can help an organization run more smoothly by: promoting efficiency; managing risks; and ensuring continuity. SAMPLE TRAINING - MONTH 20XX
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7 RIM Program SAMPLE TRAINING - MONTH 20XX
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RIM Program Components
8 RIM Program Components Key Roles and Responsibilities Rules – Policies and Procedures Inventory and Records Retention Schedule Awareness and Training Audit and Compliance Defining key roles and responsibilities to help support and promote the program; Setting the rules for the program; Compiling an Inventory and Retention Schedule to identify what records you have and how long you need to keep it; delivering Awareness and Training to keep stakeholders informed; maintaining the program through ongoing monitoring and reporting; and testing and auditing the program to make sure that it remains current and viable. SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Key Roles
9 Roles and Responsibilities Board of Directors Management Records Group Records Officer Records Coordinators/Liaisons Employees SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Rules
10 RIM Program Policy Main Goals: address key recordkeeping requirements; facilitate and encourage consistency set out records management objectives Objectives acknowledge records as an important business asset acknowledge sound recordkeeping as a key function define key responsibilities and be clear that records management is the responsibility of all staff; outline the main aims of recordkeeping indicate how good recordkeeping helps organization SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Rules
11 RIM Program Components – Rules Key RIM Program Procedures Destruction Storage Classification Legal Holds Records Retention Schedule Maintenance SAMPLE TRAINING - MONTH 20XX
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RIM Program Components –Schedule
12 Inventory records to determine: how and where records are physically stored volume of storage how records are classified for future use and retrieval sensitivity of information and access what retention periods are being applied and their bases (e.g., legal, business, historical, etc.) SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Schedule
13 Records Retention Schedule is a comprehensive listing of the records an organization must maintain. It ensures that records are retained long enough to meet statutory, regulatory, policy, contractual, and operational requirements for recordkeeping and are disposed of in an authorized manner once the retention period has ended. SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Schedule
14 Create Records Retention Schedule to indicate: minimum retention periods how long the records need to be retained on-site how long records need to be retained off-site whether it is a special record – historical value or vital record SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Schedule
15 Master Categories Administration Communications Human Resources Finance and Accounting Legal and Compliance Operations Risk Management Technology Audit Master Category Sub-Category Function Finance and Accounting A. Category: Accounts Payable Accounting Management Description: Records relating to accounts payable including, but not limited to, purchasing and reimbursements. B. C. Retention: destroy six years from date audit report released SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Schedule
16 Create Records Retention Schedule to indicate: minimum retention periods how long the records need to be retained on-site how long records need to be retained off-site whether it is a special record – historical value or vital record SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Training
17 Ways we raise awareness about our RIM Program: Training Annual Employee Training New Hire Orientation Annual Records and Information Management Day Special Training for key Records Personnel Records and Information Management Workshops Communications Periodic Reminders Notice from Senior Management Systems Notices on Systems Website Dedicated Page on Company Website Key Documents Code of Conduct Employee Performance Reviews Annual Employee Certifications/Acknowledgements SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Maintenance
18 Maintenance of RIM Program to ensure adequate and current controls and processes in place including: Risk Assessments Compliance Monitoring Employee Hotlines Customer Complaints Third Party Governance and Risk Management SAMPLE TRAINING - MONTH 20XX
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RIM Program Components – Testing
19 Audit the RIM Program periodically to ensure program requirements are being followed: Audit Program policies, procedures, systems, technologies and practices. Document the results Present findings Issue report Obtain commitment for remediation Assess final remediation Schedule next audit SAMPLE TRAINING - MONTH 20XX
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Conclusion 20 Let’s now cover the step-by-step process you can use to establish or check your RIM Program. Define Records Management Roles Develop and Maintain RIM Program Policies and Procedures Conduct and Complete a Records Inventory and Retention Schedules Deliver Records Management Training Maintain the Records Management Program Audit the Records Management Program SAMPLE TRAINING - MONTH 20XX
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Conclusion 21 SAMPLE TRAINING - MONTH 20XX
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Key Contacts 22 Key Records Management Contacts
Records Management Administrator Records Management Liaisons Records Management Coordinators Records Management Working Group Website Records Management Program Website Records Management Mailbox Records Management Helpline SAMPLE TRAINING - MONTH 20XX
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Key Contacts 23 THANK YOU! SAMPLE TRAINING - MONTH 20XX
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