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

The Principles:

How we incorporated them into our Business Process

byLawrie Barroner.

Courtesy of

• 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.

Specific

Measurable

Attainable

Relevant

Timely

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 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


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.


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 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.


A division shall maintain records in a manner that ensures timely, efficient and accurate retrieval of needed information.


A division shall maintain its records and information for an appropriate time, taking into account legal, regulatory,

fiscal, operational and historical requirements.


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

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.


• 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.


• 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.


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

Remember to keep you goals S.M.A.R.T.

Specific

Measurable

Attainable

Relevant

Timely

Questions?

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

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