Habit 4 Of A RIM Program

Habit 4 of a RIM Program:Accountability FrameworkARMA HoustonSpring ConferenceDave FoleyApril 20172017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramProgram Strategy In ReviewSTRATEGY22017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramSTRATEGYRIM Universal Truths & Strategy ModelMMeasure program effectiveness, use, andcompliance; implement improvementsIntegrate processes for effectiveness;automate for efficienciesTrain everyone; Keep the RIM messagesimple and easy; Don’t accept distractionsCreate accountability throughout theenterpriseIt always comes down to the retentionscheduleDefine compliance; Establish the strategyPolicy is the foundationProgram MaturityCommunicate& tabilityFrameworkProgram mpliance &ComponentsRIM PolicyStrategyProgram Foundation32017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramThink Win-WinCreate accountability throughout Accountability acknowledgment & assumption of responsibility foractions & decisions made in regard to how recordsare managedis not more work; a silver bullet; the ‘next’ big idea.is placing accountability into the business; dispels belief RIM owns the recordsAccountability Framework is a partnership – a win-win;arming the business with guidance, tools, resourcesand structure that help them manage their records42017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramWhere to Start?START WITH WHY52017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramStart with WHYSTART WITH WHY6Simon Sinek2017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramGrowth and ValueSTART WITH WHYVolume of information rapidly increase (media, format, &location)As value and use diminish, risk and cost remain72017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramProblem StatementSTART WITH WHYPremise: A gap exists with understanding the RIMprogram. the reasons to do things, how to do things,and gaining support and followers.82017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramExposure to Risk, Search, Accessand Retention InefficienciesA Need for ChangeSTART WITH WHYResults Based Accountability FrameworkGoal: Turn The Curve Accountable businessrecord owners Systematic recordmanagement anddestructionBusiness Engagement: Adoption of RIM Program92017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramThe ChallengeSTART WITH WHYChallenge:A win for the businessBuild a RIM program that is Enterprise-wide Defensible SustainableEnsure business adoption Providing lasting guidance Delivering tools and processes that lower cost and riskwhile improving efficienciesA win for employees102017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramA Program that DeliversAccessible,Authentic stencyStandardsEXPLAIN HOWJurisdictionsSafetyFederalYou & meBusinessLegal11How can we work without information?2017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramStart With End In MindEXPLAIN HOWEfficiency, consistency, andstandards becomemeasures for successA win-win approach with a key corporate goal:“Continue to evolve our records and informationmanagement program by implementing standardized toolsand processes with a focus on employee awareness andeducation” (2016)122017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramHow to Begin?EXPLAIN HOWTrust and credibility are not instructions, they’re feelings132017 ARMA Houston Spring Conference

Program MaturityHabit 4 of a RIM ProgramThink Win-Win with Accountability Mutually beneficial solutions or agreements Establish a Executive Leader / Sponsor Communicate & N HOWAccountabilityFrameworkProgram mponentsRIM PolicyDefineCompliance & SetRIM StrategyProgram FoundationCreate the win-win with accountability throughout the entireorganizationAccountability Framework1: Leadership2: Record Leader3: Record Owner4: Record Coordinator5. EmployeeYour Company6: Record Unit7: RIM Dept.8: RIM Training9: Assessment andImprovement142017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramExecutive LeadershipEXPLAIN HOW152017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRecord LeaderEXPLAIN HOWRecord Leader (RL) –generally at the executive level and may be theRL for many Record Units. This person is ultimately responsible for allrecords but generally does not perform day-to-day activities withrespect to records.RLVP/Officer LevelChampions RIM; a key stakeholderActively communicate value andimportanceImplements RIM Accountability in businessareaEstablishes record unitsAppoints record owner(s)162017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRecord OwnerEXPLAIN HOWRecord Owner (RO) – responsible for disposition of records in theirunit. This person has a strong understanding of the content of theirrecords.Leadership level; authority to direct staffROAccountable for & knowledgeable ofunit’s recordsDrive RIM improvement / complianceplansChampion annual RIM trainingRespond to hold notices and auditsAssist protection of vital recordsOversee timely record dispositionAssign Record Coordinators (RCs)172017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRecord CoordinatorEXPLAIN HOWRecord Coordinator (RC) – responsible for ensuring users in the unitare properly trained and is a department champion of RIM policiesand procedures.Assist the RO with RIM activities andimprovement / compliance plan“Go To” person in the unit for RIM; shareknowledge and train unit staff aboutRIM processes, activities and bestpracticesRCKnow the RIM Policy, Legal Hold Policyand the Records Retention ScheduleLiaison to the RIM DepartmentLead routine disposition activitiesParticipate in RC Network182017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramEmployee aka Record UserEXPLAIN HOWRecord User – the standard user; all employees handling the unit’sinformationComplete annual trainingManage records according to policyProperly classify all company recordsfrom the Records RetentionScheduleAdhere to the unit’s improvement /compliance planUSRoutinely dispose and eliminateduplicate recordsRecognize the accountability teamAsk the RC for assistance asnecessary192017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRecord rdLeaderRecordOwnerNo need to follow organization chartEXPLAIN HOWAssociation of peopleand recordsOrganized by function,size, location, so onUse as metadata retrieve informationrelating to the RU provides data accesspoints storage mechanism disposition workflow202017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramWithout Record UnitEXPLAIN HOW212017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramWithout Record UnitManagerWorkGrpBarbieEXPLAIN Ken222017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramWithout Record UnitManagerWorkGrpBarbieEXPLAIN Ken232017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramEXPLAIN HOWRecord ordUnitRecCoordWorkGroupRecordOwner242017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRecord UnitEXPLAIN rkGroupRecordOwnerRecCoord252017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRecord UnitEXPLAIN HOW262017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRIM DepartmentEXPLAIN HOWPolicyRRSProgramAccountability FrameworkRC NetworkEducateCommunicateGuideImprove272017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRIM TrainingEXPLAIN HOWRecord CoordinatorMeetingRIM 400 Series 401 Understanding RIM Accountability 402 Accountability Fundamentals 403 RIM Principles and AccountabilityFramework for all Employeesa place to learn from peersand share information282017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramEXPLAIN HOWThe JourneyMonth 1RL, RO, RCMeetingsMonth 2Training Introduction & RIM OverviewPlanning session RIM Basics Roadmap RIM Role expectationsAccountabilityFramework Basics Schedule/Impact Record Unit Role assignment IdentifyParticipants Solidify dates Next stepsMonth 3 and going forward Health Check RIM ComplianceChecklist RIM Health Check Maturity measure Gap analysis RIM ImprovementplanRecordReview Data gathering andrecord review Recordclassification Dispose ofduplicates Dispose ofrecords meetingretentionRC Network Ongoing Informationsharing Guidance Support292017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramMeasure For Purpose; Reach the DestinationSHOW WHATData gathering & reporting:Set baselineGap analysisInput to improvement plansAssessing and auditing:Seek effective, compliant and riskfree systems and processesAid for improving the RIM programSimilar tools to measure and test policy compliancethrough key components of the program302017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramData GatheringSHOW WHAT312017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramRepositoriesSHOW WHAT322017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramLowHighRecordsReportingSHOW WHATLowHighRecord Unit and Employees332017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramImprovement PlanSHOW WHAT342017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramAssessing and AuditingSHOW WHAT352017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramAssessing and AuditingSHOW WHAT362017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramAssessing and AuditingSHOW WHATChecklist: Creation of RecordsObjective: Records are created as relevant to the organizations activities and captured into the appropriate record keeping systemsupon creation or receiptGood Practice MeasureEvidenceComplianceYes/No/PartialAction Required Yes/NoFollow-up Date1. Follows company policy and program resources in classifyingrecords and what should be done to safeguard it and make itaccessible within the department. Include: naming conventions andmetadata requirements (i.e. title, subject, name of creator, datecreated, locality, description, etc.)2. Company and business unit procedures are followed for thecapture, management and secure storage of electronic information3. The business unit has established an electronic recordmanagement system (IER, Share Point, shared drives) to manageits recordsSee checklist 3.5.4. Where a set of records is held in physical form (e.g. paper,microform) the relationships to other physical records, or toelectronic records and systems, have been recorded5. The record keeping or record management system records thephysical location of each record set372017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramAssessing and AuditingSHOW WHATUSING ISO 15489Complying with standards andregulations when auditing arecords programProvides tips on auditinformation gathering andreport writing382017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramAssessing and AuditingSHOW WHAT Records management should encompass Regulatory environments must beidentified including Main principles of records managementinclude The characteristics of a record Functionality and components of recordsystems Records management processes andcontrols Monitoring and auditing encompasses392017 ARMA Houston Spring Conference

Habit 4 of a RIM ProgramThank YouACCOUNTABILITYYour CompanyDave FoleyDirector, Records and InformationManagementPhone: 918-595-1564E-mail: dave.foley@oneok.comat ONEOK, Records Count402017 ARMA Houston Spring Conference

4 Habit 4 of a RIM Program Think Win-Win ACCOUNTABILITY Accountability . Framework . Create accountability throughout the enterprise . Accountability Framework is a partnership – a win-win; arming the business with guidance, tools, re