The 7 Habits of a RIM Program:

A Case Study

ARMA Tulsa Dave Foley

January 2017

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7 HABITS of Highly Effective People

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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

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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: Instinct

:22

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7 Habits of a RIM Program Dave-isms: Experience

Results Process Plan Need = Process X People

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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

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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

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The 7 Habits of a RIM Program:

A Case Study Handouts

ARMA Tulsa Dave Foley

January 2017

23

7 Habits of a RIM Program Maturity Model / Heat Map

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Dept. PROGRAM Enterprise

Low

E

FFE

CT

H

igh

7 Habits of a RIM Program Magic Quadrant

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7 Habits of a RIM Program Magic Quadrant: Sample Product or Service Evaluation

Low Completeness High

Low

Im

porta

nce

Hig

h

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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

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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