This document is a presentation on records and information management given at the MAILCOM 2012 conference in Washington DC from April 15-18. It discusses the costs of paper records, legal requirements for records retention, and components of a records management program. The presentation was given by William L. Ware and James P. Mullan and covered topics such as the lifecycle of records, benefits of records management, and professional organizations in the field.

1. MAILCOM 2012 - Washington, DC. - April 15-18
Course #: OS 305
Title: Records & Information Management
Scheduled For: Tuesday, Round 10, 3:30-4:30 pm
Presented By: William L. Ware, CMDSM
Neotek Consulting
James P. Mullan, CMDSM
Oce Business Services

2. .
RECORDS & INFORMATION
MANAGEMENT
William L. Ware
James P. Mullan
MAILCOM 2012 - Washington, DC. - April 15-18 2

3. Records Related ?
• 1.6 trillion pieces of paper circulating annually
• 35 hours of work stacked on desks
• 45 minutes per day wasted on searching
MAILCOM 2012 - Washington, DC. - April 15-18 3

4. Misfiled Records
• 1 % to 5 % of all records are misfiled.
• It costs approximately $100 to find a
misfiled record.
• Searching for misfiled records can waste
up to 15 % of a workday.
MAILCOM 2012 - Washington, DC. - April 15-18 4

5. Records Studies Show
• 95 % of an organization’s records over three
years old are never referred to again.
• 85 % of all records are never referred to
again once they are filed.
• 70 % to 75 % of all correspondence is
internal.
MAILCOM 2012 - Washington, DC. - April 15-18 5

6. RIM Surveys Show !
• 10 % kept for the life of the organization
• 20 % retained currently
• 35 % transferred to storage
• 35 % disposed / destroyed
MAILCOM 2012 - Washington, DC. - April 15-18 6

7. Document Handling Costs
• Over 325 billion paper documents are
handled by U.S. businesses each year at
an approximate average cost of $0.25 per
document.
7

8. Forms Costs
• More than $6 billion is spent on preprinted
paper forms in the United States each year.
• For every dollar spent on the form itself,
another $60 is spent filling out, correcting,
transporting, filing, sorting, and retrieving it.
MAILCOM 2012 - Washington, DC. - April 15-18 8

9. Metrics
• 2,500 pages = 1 archive box
• 1 CD-ROM (650 MB) = 6 archive boxes
• 1 million pages = 400 archive boxes = 80 CDs
• Information held in document form is doubling
every 4 years.
MAILCOM 2012 - Washington, DC. - April 15-18 9

10. Table of Contents
• WHAT ARE RECORDS ?
• WHAT ARE NOT RECORDS ?
• WHY DO WE NEED "GOOD" RECORDS ?
• RECORDS MANAGEMENT – a definition
• THE SCOPE OF RECORDS MANAGEMENT
THE LIFE CYCLE OF A RECORD
MAILCOM 2012 - Washington, DC. - April 15-18 10

11. Table of Contents (cont.)
• ELEMENTS AND FUNCTIONS OF RECORDS
MANAGEMENT PROGRAMS
• BENEFITS OF RECORDS MANAGEMENT
PROGRAMS
• RECORDS VALUES
MAILCOM 2012 - Washington, DC. - April 15-18 11

12. Records Values
• Administrative or Operational
• Fiscal or Financial
• Legal or Regulatory
• Historical or Archival
MAILCOM 2012 - Washington, DC. - April 15-18 12

13. Table of Contents (cont.)
• LEGAL REQUIREMENTS RELATED TO
RECORDS
MAILCOM 2012 - Washington, DC. - April 15-18 13

14. Jurisdictions
• Federal Government
• 50 States
• 8 Territories
• 6 Indian Nations
• 1 District (Washington, DC)
• Foreign Countries
MAILCOM 2012 - Washington, DC. - April 15-18 14

15. Code of Federal Regulations
• Over 1500 pages
• Title 7 – Agriculture
• Title 10 – Energy
• Title 12 – Banking
• Title 15 – Foreign Trade
• Title 16 – Commercial Practices
MAILCOM 2012 - Washington, DC. - April 15-18 15

16. Code of Federal Regulations
• Title 17 – Commodity & Securities
Exchanges
• Title 21 – Food & Drugs
• Title 26 – Internal Revenue
• Title 28 – Judicial Administration
• Title 31 – Money & Finance: Treasury
• Title 34 – Education
MAILCOM 2012 - Washington, DC. - April 15-18 16

17. Code of Federal Regulations
• Title 39 – Postal Service
• Title 42 – Public Health
• Title 46 - Shipping
• Title 47 – Telecommunications
• Title 48 – Government Contracts
• Title 49 - Transportation
MAILCOM 2012 - Washington, DC. - April 15-18 17

18. Table of Contents (cont.)
• INTERNATIONAL RECORDS RETENTION PERIODS
• INTERNATIONAL LEGAL SOURCEBOOKS
• STEP-BY-STEP PLAN FOR ISO9000 COMPLIANCE
FOR MULTINATIONAL RECORDS
• COMPONENTS OF THE ISO9000 STANDARDS
WITH THEIR RECORDS MANAGEMENT
IMPLICATIONS
MAILCOM 2012 - Washington, DC. - April 15-18 18

19. International Organization for
Standardization
• ISO 9000 Quality Management
• ISO 14000 Environmental Management
• ISO 15489 Information & Documentation –
Records Management
• ISO 22000 Food Safety
• ISO 27000 Information Technology – Security
Techniques
MAILCOM 2012 - Washington, DC. - April 15-18 19

20. International Organization for
Standardization
• ISO 26000 Social Responsibility
• ISO 28000 Supply Chain Security
• ISO 31000 Risk Management
• ISO 50001 Energy Management
MAILCOM 2012 - Washington, DC. - April 15-18 20

21. Table of Contents (cont.)
• RELATED PROFESSIONAL ORGANIZATIONS
ARMA
AIIM
PRISM
MAILCOM 2012 - Washington, DC. - April 15-18 21

22. Professional Organizations
• Membership
• Contacts
• Networking
• Links
• Certification
• Industry / Function Specific
• International
MAILCOM 2012 - Washington, DC. - April 15-18 22

23. Professional Organizations (cont.)
• Education
• Conferences
• Seminars
• Training
• Professional Development
• Employment
• Advice / Help
MAILCOM 2012 - Washington, DC. - April 15-18 23

24. Professional Organizations (cont.)
• Bookstore
• Publications
• Products
• Services
• Resources
• List Serves
MAILCOM 2012 - Washington, DC. - April 15-18 24

25. ARMA International
Association of Records Managers
and Administrators
• State & Regional Chapters
• International Chapters
• Industry Specific Groups
• Related RIM Organizations Web Sites
• Over 11,000 members
25

26. AIIM
The Association for Information
and Image Management
• State & Regional Chapters
• International Chapters
• Industry Specific Groups
• Over 35,000 members
26

27. Storage
MAILCOM 2012 - Washington, DC. - April 15-18 27

28. IRON MOUNTAIN
A World Leader in Records Management
“A Professional Guide to Records Retention”
28

29. Records Retention Schedules
MAILCOM 2012 - Washington, DC. - April 15-18 29

30. Table of Contents (cont.)
• FILING CLASSIFICATION
• METRICS
MAILCOM 2012 - Washington, DC. - April 15-18 30

31. Key Issues
• Professional Development
• Document Management
• System Conversions
• Legality of Storage Media
• Electronic Records Management
• International Issues
MAILCOM 2012 - Washington, DC. - April 15-18 31

32. Key Issues (cont.)
• Admissibility of Records
• Policies & Procedures
• Technology Issues –
Hardware & Software
• ISO – International Organization
for Standardization
• Records Values
MAILCOM 2012 - Washington, DC. - April 15-18 32

33. Key Issues (cont.)
• Imaging
• Outsourcing
• Security
• Standards
• Systems
• Sarbanes-Oxley Act
MAILCOM 2012 - Washington, DC. - April 15-18 33

34. Question The Records?
• If no law governs the records ?
• If there is no business need for the records ?
• Can you dispose of the records ?
• What is the risk ?
MAILCOM 2012 - Washington, DC. - April 15-18 34

35. Records & Information
Management
Questions ?
Comments ?
William L. Ware --- James P. Mullan
MAILCOM 2012 - Washington, DC. - April 15-18 35

36. Records & Information
Management
Thank You
MAILCOM 2012 - Washington, DC. - April 15-18 36

37. Contact Information
William L. Ware, CMDSM James P. Mullan, CMDSM
Consultant / Project Manager National Operations Manager
Neotek Consulting Oce Business Services, Inc.
106 Union Avenue Chubb & Son
Passaic, NJ 07055 15 Mountain View Road
973-773-1817 Warren, NJ 07059
billware@prismnet.com 908-903-2869 office
201-779-9355 cell
908-903-2027 fax
jmullan@chubb.com
MAILCOM 2012 - Washington, DC. - April 15-18 37