Records Management From the Basement to the Boardroom
For many years, the records department was deep in the basement of many corporations, and its mysterious functions were never valued until some vital document needed to be found. All of a sudden, the records manager is in the hot seat to find a single document in the sea of e-mail, paper and electronic file stores. The records manager might have spent years trying to implement some type of records process, but probably gave up from the lack of attention to the issue.
Until, of course, something is needed. Records practices zoom to the top of everyone’s to-do list in times of crisis, during an investigation or when something vital is lost.
Through the Lens of a Senior Executive
Senior staff members are drowning in documents, e-mail, instant messages, voice mail and video clips. Along with legislation that now holds them personally accountable for what they sign, they are also responsible for the behaviors of the people they manage, and how those very people manage documents. A senior leader should look through two lenses in evaluating how vital information is managed:
Lens #1—If disaster strikes. Do you have an efficient records practice that allows for efficiencies in business process? Do you have the policies and practices that ensure your business would go on in the event of a catastrophic loss of facility?
Lens #2—Litigation risk. It is the job of litigators to make every shred of information discoverable. It is up to you to have the policies and practices that limit this discovery, while allowing for sound business practices.
Both of these lenses depend on the same set of solid policies and the reinforcement of behaviors so everyone actually complies with the policy. One of the jury’s key decision points that decided the fate of Arthur Andersen was the fact that even though they had a written policy (one they sold to other companies!), they had not trained their own people very well.
Here’s a short list to serve as a “Records Policy Check Up”:
1. Look for evidence. Do you actually have a written policy? Can you find any evidence that one exists? What do you do with your own e-mails? Are they stored, backed up, destroyed against a sanctioned retention policy?
2. Visit the records center. Does your records manager have a voice in the policy- and procedure-setting activities? Look for synergy between the records department and the IT department. Together they need to ensure all electronic and physical documents are treated the same way.
3. Self-inspect. Senior managers are often the worst offenders of a records program. For example, many legal rulings deem that back-up tapes used for disaster recovery only are not discoverable. But senior managers frequently ask the IT department to recover e-mails that they deleted accidentally. This practice voids the argument that back-up tapes are used solely for disaster recovery.
4. Get help. If you find too many issues to deal with internally—or do not even have the time to check—engage the experts for a consulting project.
Through the Lens of a Records Manager
For many years, records managers were relegated to the dusty shelves of paper records. It used to be easy; as long as you were organized and used some level of filing system your job could be done efficiently and effectively. Now with the advent of multimedia, and end-user control of their records, the job has become more complex and no longer a standalone task. Today’s records manager is on the forefront of new and innovative ways to capture and store documents in electronic formats that can be searched and retrieved, even if the original program has long since been replaced.
Here’s some advice for the modern-day records manager:
1. Find your voice. A records manager needs to play a role in the setting and implementation of records and document policies and practices. Speak often to department heads, executives and the IT department on the “current versus desired” state of records management.
2. Be the expert. Know the legislation and how it applies to your business. Be able to articulate how you are compliant and what needs to be done to ensure that the needs of your organization are met.
3. Be a great partner. A good relationship with the IT department is critical to your records policy. IT controls the storage of documents, e-mails and other media. Their preference will be to keep everything forever or until they run out of drives—whichever comes first.
The other important partner is the legal department. They know more than anyone the importance of retention policies and will give you the legal backup for your arguments.
4. View records as a marathon, not a sprint. It might take years to get records under control. Having a written policy that is updated and communicated on a regular basis is a great start.
MDY is committed to helping organizations properly manage the ever-increasing volume and complexity of their physical and electronic records and information. We strongly believe that proper records management can also enhance knowledge management and overall productivity for all types of organizations.For more advice on document and records management best practices, please visit us at MDY