Records Management - Training

From Working EDRM

Records Management

The Records Management Program The Objectives of a Comprehensive Records Management Program Record Definition Incorporation of Electronic Records into a RM Program The Complexity of Metadata Managing Information Copies/Duplicates Records Storage and Maintenance Storage/Access/Security/Disposition of Records - Legal Requirements Records Disposition Program Assessment/Audit Training Suspension of Records Destruction During Litigation Holds When the Duty to Preserve Relevant Materials Arises What Happens to Records Once Hold Terminated Emerging Technologies Records Management - RM Technology Solutions E-Mail Content Filtering and Monitoring Software E-Mail Archiving Encryption and Security EDMS/ECMS/RMS Web-Based Compliance Training Records Home Page Other Solutions Additional Materials Participants

An effective training program is an essential component of any Records Retention program. However, just having a written policy is not enough. If users are not instructed in the fundamentals of why the policy is in place, what they must do to comply with the policy under normal circumstances and what they must do when the policy is suspended because of pending litigation, the policy will end up being ineffective and the corporation could end up being held liable for sanctions.

In Zubulake vs. UBS Warburg, UBS was held accountable for the negligent destruction of emails, even though the user was following the published company records retention policy. The key failure the court found was that there was a 'reasonable expectation' a lawsuit would be filed, and therefore, normal retention procedures should have been suspended. While a Litigation Hold may have been in place, the user was not trained in proper procedures for suspending the normal destruction procedures, and therefore, UBS was held accountable.

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Contents 1 Who Should be Trained 2 Training Program Objectives 3 Issues to be Addressed in Training Program 4 Disseminating Training 5 Ensuring Employee Compliance

Who Should be Trained

All users within the organization who generate, distribute or retain paper or electronic business records should undergo the Records Retention training program. Differing levels of training based on user responsibilities and involvement may be offered.

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Training Program Objectives

The main objective of the training program is to instruct users in the proper procedures for complying with the company's Retention Policy. At the end of the training, users should be able to:

• Recognize what makes up a "business record";
• Understand the importance of their full and complete participation in the records retention program; and
• Be aware of the repercussions and potential legal liability to their company if procedures are not followed correctly and consistently.

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Issues to be Addressed in Training Program

The RM Program should address the following:

• The correct identification of a business record;
• Proper creation, capture and disposal of business records;
• Appropriate 'hold' procedures when a Litigation Hold is issued;
• Proper wording of documents to minimize 'bad documents';
• Accurate labeling of privileged and confidential business records;
• Proper procedures to follow when a Litigation Hold has been suspended and normal destruction of documents reinstated;
• How this impacts the use of their home computer, Blackberry, PDA, etc.; and
• Company accepted format for reporting of violations, asking questions, etc.

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Disseminating Training

There are many options available to "get the word out" and a multi-faceted approach to increase the overall scope of learning is recommended. In addition, documentation should be maintained that outlines what training was undertaken and who attended the sessions for compliance purposes. Some potential outlets:

• New employee training;
• Employee Handbooks;
• Online training modules on company intranet;
• Training videos with message from business unit leader;
• Leaflets, booklets, company newsletter, participation in other business unit events and training; and
• Regular Webinar updates.

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Ensuring Employee Compliance

Regular auditing of user compliance is essential as is employee retraining. Other possible means to ensure compliance include:

• Tying compliance to the employees Performance Review;
• If the company uses an MBO (management-by-objectives) program, adding compliance as an objective; and
• Testing or user surveys with incentives.

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