Keeping Records Long Enough -

Todd Johnson, CRM, recently queried the RM Listserv, " In developing our retention schedule, I'm coming across multiple instances where the business need to retain certain records exceeds the compliance retention requirements by many, many years (i.e. 3 years v. Permanent) ... what are some of the approaches you used to make the end user feel like their needs were met, while at the same time ensuring records weren't kept excessively long?"

But not too long!
We have a solution for Todd's dilemma. Before starting the review of the draft updated retention schedule with key stakeholders, ask for and communicate a directive from the legal department/information governance steering committee mandating that legal requirements for record retention are not to be exceeded except for compelling reasons. Remind key stakeholders of the mandate during review sessions, and document requests to extend legal retention requirements (who, what, and why). The proposed retention period extensions accompany the updated draft retention schedule when it is presented to the legal review team for final review and approval.

When key stakeholders and decision makers are reminded of the mandate during review of the updated retention schedule, requests to extend retention periods are rare. This approach has worked every time! Here are results from two projects:

Comments

Keeping Records too long can be unavoidable

Submitted by Deborah Barletta, CIP June 08, 2011 - 1:14 PM

I work in the field of architecture as a records manager. The exceptions we encounter are those of "business value" whereby we have a relationship with an ongoing client. If we have multiple projects at a university, over time for instance, we may want to keep information longer than for other projects. Some buildings may be renovated or added on to, while others may be demolished.

If our retention schedule directs "meeting minutes" to be destroyed after 3 years and we have an existing client or the project is complex or has elements that are innovative, the design meetings minutes take on more value and become an exception.

We currently use the phrase " where the record does not have lasting value" to use as a criteria. I think that says it all. So does "caught between a rock and a hard place".

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Just an observation

Submitted by Chris Walker June 09, 2011 - 1:40 PM

To be honest, I would not have a retention category for generic "meeting minutes". I'd use a functional model to tie meeting minutes to an actual business activity (e.g.: design). I would also consider applying a case mgt model (think of the bldg as a case and the case closes when the bldg is demolished).

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Your Observation

Submitted by Susan Cisco June 09, 2011 - 9:39 PM

Hi Chris, can you tell us more about your functional model for managing cases? Have you instantiated it in an ECRM system? Thanks for your comments!

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It's Friday & I Want To Leave - So I Will Be Brief

Submitted by Chris Walker June 10, 2011 - 5:58 PM

Hi Susan

Yes, I've put the case file mgt paradigm into play in a client project. Contact me offline at walkerchrisp@gmail.com if you want further details or to discuss.

The easiest example is the Employee Case file. All content pertaining to the employee goes in, the retention trigger fires when the employee leaves. Assuming no litigation all content in the employee case file is destroyed 25yrs later (or whatever the legislation states). Content would include the standard stuff like payroll records, training records, disciplinary records, etc.

Projects are also a good candidate as you have a lot of disparate content that is related to a single "thing".All project content gets placed in the file and is disposed of once the project is closed. They tricky bit with projects is that they typically end with something built that will last. It's a business decision as to whether or not you attach the project case file to the thing that was built and retain both. In the case of software projects I would likely opt for retaining the project file until the software is decommissioned.

I hope this helps. Feel free to reach out to me if you want to discuss further.

Cheers!
Chris

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Case File Management - Meeting Minutes

Submitted by Susan Cisco June 12, 2011 - 9:02 AM

Chris, this makes sense. Going back to Deborah's comment, if we tie "meeting minutes" to an actual business activity, do you anticipate have minutes in multiple record series?

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Yes, I Do

Submitted by Chris Walker June 14, 2011 - 5:15 PM

You'd end up with meeting minutes tied to budgets, design, marketing, ... whatever. It actually works well and users have an easier time find what they are looking for. Works well for email, too.

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my 2 cents

Submitted by Gilbert Barrera, CRM, PMP November 04, 2011 - 12:43 PM

Project Records & Technology Product records are 2 very distinct record categories in my world.

For the Project Management office there is value in lessons learned, estimations, resources, schedules, risks, budget, vendors, service providors, etc which are retained as organizational & environmental assets. These assets deliver value to future projects and continous PMO process improvement intiatives. These fall in a retention specific to the PMO function - typically end of project + x years.

For the technology group, output from a project must deliver all necessary documentation necessary to support the technology asset. Some of these records then fall into a knowledge management category which are records that gain value over time, based on troubleshooting, issues resolutions, system/software/hardware updates. These specific records fall under a retention of life of system.

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Exceptions - Between a Rock and a Hard Place

Submitted by Susan Cisco June 09, 2011 - 9:33 PM

Deborah, thanks for your comments. Exceptions are a fact-of-life in managing retention and achieving compliance. Limiting exceptions to the bare minimum is a key to success.

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