Business Rules for

Records Management

What the heck are they and why

do we need them?

What are RM business rules?

Discipline related to creation,

protection, use, retrieval and

disposition of records.

Occurs at 3 levels of the

organization:

Across all of the organization

Across parts of the organization

Across programs within the organization

3 Levels of the Organization

Level 1: Across all of the organization Policies or legislation

Standard setting procedures/manual

Retention Schedule

Level 2: Across Parts of the organization Naming.metadata

Classification structure

Level 3: Across Programs within the organization Users instructions with assignments

Operating procedures

Level 1

Policy or legislation Formal and written

Approved and directed by upper/highest level of management

Standard Operating Procedures (high level) Guidelines

Roles and Responsibilities

Training

Level 2

Classification Structure How does the business work?

Storage

Tools

Creation and use

Standard operating procedures - business unit requirements, timelines

What do we call it? Taxonomy

File plans

Access and control

Metadata/file naming/titling

Level 3

User responsibilities:

Record Custodians on teams

Record Stewards as individuals

Declaration of records

Accountability

Auditing

Standard operating procedures (front

line) = file plans for record sets, decision

making points, purge working papers

Plan for Success

RM Strategy

Training Programs:

RM, Security, Tools & Systems

Communication Plan

Measures/Metrics

Written Policies: (content,

security, retention, tools, file

naming)

Conclusion:

RM is a process, not an event.

It is a core organizational principle which must be adopted and incorporated into the daily work environment.

RM takes daily discipline to achieve.

Business rules are needed at all 3 levels for success.