the 7 habits of a rim program - arma : tulsa, oklahoma ...armatulsa.org/websites/arma/images/arma...
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7 HABITS OF A RIM PROGRAM
Program Establishment
Program Foundation
Communicate & Train Business
Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define
Compliance & Set RIM Strategy
Program Maturity
4
#1 – Be Proactive Own your Role and the RIM Policy
How do I gain Senior Leader support?
What expectations are upon me and how do I exceed them?
How well do I represent my organization and RIM?
Own your role; remain accountable to your position
Write the policy; know it; speak it
Present RIM in a positive light; a benefit for others
“Make your work to be in keeping with your purpose” Da Vinci
Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set RIM
Strategy
Program Maturity
5
Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set RIM
Strategy
Program Maturity
#2 - Begin With The End In Mind Define Compliance & RIM Strategy
Clarify your values and goals “The end” is compliance for records, employees, and the business
Program strategy / yearly goals
Your strategy remains constant while processes evolve Unstructured records Structured records Physical records Disposition & destruction E-Mail
Imaging Record review Abandoned datasets Onboard training LHO / record preservation And more…
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Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set
RIM Strategy
Program Maturity
#3 – Put First Things First Retention Schedule
Resources, toolsets and processes to reach the second habit
What’s important? Records Retention Schedule!
It is a map to “the end” (compliance) Have a single, enterprise schedule Organize by type of information / functional activity Expand record types Reduce overall number Ease and acceptance
Develop tenets for use and to manage Establish RRS Committee
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7 HABITS OF A RIM PROGRAM
Program Establishment
Program Foundation
Communicate & Train Business
Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define
Compliance & Set RIM Strategy
Program Maturity
8
Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set
RIM Strategy
Program Maturity
#4 – Think Win-Win Create Accountability
Mutually beneficial solutions and agreements
Establish a steering committee / have executive sponsor
Create accountability throughout the entire organization
Accountability Framework 1: Leadership 2: Record Unit 3: Record Leader 4: Record Owner 5: Record Coordinator
6: Employee 7: RIM Dept. 8: RIM Training 9: Assessment and Improvement
Your Company
:11
9
Training catalog and communication for employees Accountability Framework RC meetings
Atmosphere of sharing and positive problem solving
Communicate and Train with easy to understand messages
#5 – Seek First To Understand, Then To Be Understood Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set
RIM Strategy
Program Maturity
RIM 100 RIM 200 RIM 300 RIM …
blog newsletter and more
lunch and learn promotional items events posters
published resources
FAQ
website
Marketing
Communication Plan
Training Plan / Curriculum
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Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set
RIM Strategy
Program Maturity
#6 – Synergize Information Governance
Value – utility and business purpose of specific information Duty – obligation to protect company information Asset – specific container of information
Process, Tools, Automation RRS File Plans ECM Auto
Classification Imaging LHO Workflow Email more…
“Value of information decreases over time; cost and risk do not”
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7 HABITS OF A RIM PROGRAM
Program Establishment
Program Foundation
Communicate & Train Business
Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define
Compliance & Set RIM Strategy
Program Maturity
12
Program Establishment
Program Foundation
Communicate & Train
Business Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy
Define Compliance & Set
RIM Strategy
Program Maturity
#7 – Sharpen the Saw Upward Spiral to Improve
Lumber Mills
For a sustainable, long-term, effective program (lifestyle) Sharpen your skills, resources, and tools
Focus on Fundamentals (proactive, begin with the end, first things first) Keep Business Engaged (win-win, seek first to understand…, synergize) Apply technology for efficiency Use professional networking & training
“Rinse and Repeat” Measure program usage and effectiveness Measure policy compliance Implement improvements
Sharpen the Saw means preserving and enhancing the greatest asset you have – You.
Stephen R. Covey
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Mid-stream natural gas company: gathering, processing, storage and transportation of natural gas and natural gas liquids RIM department created 3Q2011
What was available? Instinct and experience Dave-isms
What was done? Strategy to drive goals Goals to drive action Action to deliver results
7 Habits of a RIM Program Let’s Re-Set
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7 Habits of a RIM Program Dave-isms: Experience
People
Process Applied Technology
Effective Program (SYSTEMATIC CONTROL OF RECORDS)
Efficient Usage (LEADS TO INFORMATION GOVERNANCE)
Results Plan Need =
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Policy and Strategy 30(b)6 witness knowledgeable of RIM program
30(b)6 witness nowledgeable of RIM program
RIM key goal in strategic plan updated as program advances (D)
RIM key goal updated as program advances
RIM key goal updated as program advances
Strategy developed. Maturity Model developed
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed. (D)
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan (D)
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
Enterprise RIM Policy revised and published remains evergreen
Policy remains evergreen Enterprise RIM Policy revised, revised and published remains evergreen (D)
remains evergreen remains evergreen
Year 1 Year 2 Year 3 Year 4 Year 5
7 Habits of a RIM Program Maturity Model - Sample
Policy and Strategy 30(b)6 witness knowledgeable of RIM program
30(b)6 witness knowledgeable of RIM program
RIM key goal in strategic plan updated as program advances (D)
RIM key goal updated as program advances
RIM key goal updated as program advances
Strategy developed. Maturity Model developed
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed. (D)
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan (D)
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
Enterprise RIM Policy revised and published remains evergreen
Policy remains evergreen Enterprise RIM Policy revised, revised and published remains evergreen (D)
remains evergreen remains evergreen
Year 1 Year 2 Year 3 Year 4 Year 5
Policy and Strategy 30(b)6 witness knowledgeable of RIM program
30(b)6 witness knowledgeable of RIM program
RIM key goal in strategic plan updated as program advances (D)
RIM key goal updated as program advances
RIM key goal updated as program advances
Strategy developed. Maturity Model developed
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed. (D)
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan (D)
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
Enterprise RIM Policy revised and published remains evergreen
Policy remains evergreen Enterprise RIM Policy revised, revised and published remains evergreen (D)
remains evergreen remains evergreen
Year 1 Year 2 Year 3 Year 4 Year 5
Policy and Strategy 30(b)6 witness knowledgeable of RIM program
30(b)6 witness knowledgeable of RIM program
RIM key goal in strategic plan updated as program advances (D)
RIM key goal updated as program advances
RIM key goal updated as program advances
Strategy developed. Maturity Model developed
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed. (D)
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
Strategy reviewed annually ensuring measureable progress Maturity Model updated as needed; Note where completed.
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan (D)
RIM included as key goal in Corporate Strategic Plan
RIM included as key goal in Corporate Strategic Plan
Enterprise RIM Policy revised and published remains evergreen
Policy remains evergreen Enterprise RIM Policy revised, revised and published remains evergreen (D)
remains evergreen remains evergreen
Year 1 Year 2 Year 3 Year 4 Year 5
Program Establishment
Program Foundation
Communicate & Train
Business Engagem
ent
Information
Governance
Accountability Framework
Records Retention Schedule
Fundamental
Components
RIM Policy
Define Compliance & Set RIM Strategy
Program Maturity
:33
18
7 Habits of a RIM Program Positive Results
Dept. PROGRAM Enterprise
Low
E
FFE
CT
Hig
h
Retention Policy
Physical Record Retention Schedule
Physical Record Index Application
Est. RIM Dept.
Experienced Hire
RIM added as Company Goal
Retention Policy
Physical Record Retention Schedule
Business Accountability Defined
Defensible Retention Schedule (RRS)
RIM Policy RIM Strategy
Online Blogs
MAOP Review; Physical Box Inventory
New Hire & Intern Training
Define / Document Dept. Processes
RIM Resource Web Page
ECM Requirements
Physical Record Index Application
Est. RIM Dept.
Experienced Hires
RIM added as Company Goal
Retention Policy
Physical Record Retention Schedule
Business Accountability Defined
Defensible Retention Schedule (RRS)
RIM Policy RIM Strategy
IA Testing Tools
Online Blogs
MAOP Review; Physical Box Inventory
New Hire & Intern Training
ECM Design
Mandatory Awareness Training RIM added to Code
Of Conduct
Update RIM Company Goal
Define / Document Dept. Processes
Refresh RRS
Pilot Bus. Accountability in Corp Svcs.
2nd Pilot Bus. Accountability Est. RIM Coordinator n
Network in Bus.
RIM Resource Web Page
FAQ and Glossary
Training Curriculum
Build / Roll Out Training
ECM Build
ECM Pilots
Standardize Form Management
ECM Roll Outs
ECM Requirements
Bus. Accountability Roll Out
Physical Record Index Application
Program Establishment
Program Foundation
Communicate & Train
Business Engagem
ent
Information
Governance
Accountability
Framework
Records Retention Schedule
Fundamental
Components
RIM Policy
Define Compliance & Set RIM Strategy
Program Maturity
19
7 Habits of a RIM Program Lessons Learned
RIM Leader / Your Role / My Role Provide leadership and strategic direction to create and sustain the enterprise-
wide RIM program A sustainable program needs a solid foundation (strategy), clear goals, and a
tactical plan of action Dave-isms – instinct and experience
Covey is right (again)! Surround yourself with people having passion for (RIM) success With passionate people, well developed strategy and goals we reap favorable
results, support, understanding, and adoption RIM cuts across every fabric of the enterprise; start with small wins and receptive
business groups
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Measure program effectiveness, use, and compliance; implement improvements
Integrate processes for effectiveness; automate for efficiencies
Train everyone; Keep the RIM message simple and easy; Don’t accept distractions
Create accountability throughout the enterprise
It always comes down to the retention schedule
Define compliance; Establish the strategy
Policy is the foundation
Program Establishment
Program Foundation
Communicate & Train Business
Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy Compliance &
Strategy
Program Maturity
7 Habits of a RIM Program Universal Truths and Strategy Model
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Thank you!
Dave Foley
Director Records and Information Management
918-595-1564 dave.foley@oneok.com
at ONEOK, Records Count
Program Establishment
Program Foundation
Communicate & Train Business
Engagement
Information Governance
Accountability Framework
Records Retention Schedule
Fundamental Components
RIM Policy Compliance &
Strategy
Program Maturity
7 Habits of a RIM Program
:44
25
7 Habits of a RIM Program Magic Quadrant: Sample Product or Service Evaluation
Low Completeness High
Low
Im
porta
nce
Hig
h
26
Company information, digital and electronic, original and copies, is compliant when: The owner has been identified The location is known The content is known and accessible Adequate descriptions are available The information correctly classified from the enterprise records retention schedule The information is routinely reviewed and disposed of according to the enterprise
retention schedule
Business Units are compliant when: RM training should be completed annually Provided time for records review as part of a regularly scheduled event BU staff with RM roles are appropriately trained 100% of BU's records (electronic and physical) are classified and managed from the
enterprise records retention schedule
Employees are compliant when: RM training completed annually Participated in records review Properly classifieds all records from the enterprise records retention schedule
7 Habits of a RIM Program Compliance Checklist
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7 Habits of a RIM Program Record Compliance
Capture How are documents/records collected? Are all needed documents/records generated? Are the documents/records complete? What documents/records are generated by what document? Where is the master index of all controlled documents kept? Is this master list up-to-date?
Classify
How are documents/records indexed? Are controlled documents identified as such? Is the process determining if a document should be controlled accurate? Are the records properly classified to the corporate records retention schedule?
Manage
Are the documents/records legible? Are the documents/records adequate? Do the documents/records show a process being followed?
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Manage, continued How are documents/records maintained? Are all obsolete/controlled documents removed from use? Do all documents in use have the same revision as the master list shows? Has the organization established and maintained documented procedures to control documents?
Discover
Do the documents/records exist? Are the legal hold and preservation hold processes for records understood and followed How are documents/records accessed?
Archive
How are documents/records stored? How are documents/records secured? Are the documents/records protected from damage?
Dispose
How are documents/records disposed? Are records destroyed in accordance with the appropriate retention period?
7 Habits of a RIM Program Record Compliance
29
Thank you!
Dave Foley
Director Records and Information Management
918-595-1564 dave.foley@oneok.com
at ONEOK, Records Count
7 Habits of a RIM Program
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