Managing
Records
Elizabeth
Shepherd and Geoffrey Yeo
Facet
Publishing, London and Neil Schuman
Publishers, Inc., New York
2003
Chapter 8
Implementing
Records Management: Practical and Managerial Issues
This chapter examines the practical and managerial issues
surrounding the establishment and operation of a successful records management
programme. It provides advice on the development and maintenance of effective
records systems for organizations which already have the human and financial
resources to support a records management programme, and guidance on
establishing the necessary infrastructure for those at an earlier stage of
implementation. It uses the framework recommended in the international standard
on records management (ISO 15489-1:2001) and the accompanying technical report
(ISO/TR 15489-2:2001).
Getting
started
Establishing a records management policy
All organizations should have a formally agreed
policy for the management of their records. The goal of the policy ‘should be
the creation and management of authentic, reliable and useable records, capable
of supporting business functions and activities for as long as they are
required. ... The policy should be adopted and endorsed at the highest
decision-making level and promulgated throughout the organization’ (ISO
15489-1:2001, clause 6.2).
An example of a records management policy is given
in Figure 8.2. However, when records management is first under consideration it
will not be possible to prepare a fully detailed policy statement. The initial
focus must be on obtaining a high-level policy decision that the organization
will proceed to set up a programme of records management. When the need for a
programme has been formally recognized, decisions are required to establish its
broad parameters: in particular, whether it will embrace newly created as well
as older records and whether it will cover the whole of the organization or
only a part. Once these decisions have been made, the policy can be refined as
work proceeds on developing the programme.
Reaching agreement on these initial policy decisions
may not be easy. Some individuals at senior level may think that records
‘manage themselves’, or that decisions about records can safely be left to the
initiative of local workgroups or individual staff members; others may not
recognize a need for well-managed records or may consider it a low priority.
Sometimes a crisis occurs – an organization suffers financial loss because
records are unavailable for a legal dispute or for recovery from a disaster –
and the case for records management becomes self-evident. In other
circumstances some marketing may be required to convince every key senior
manager of the need to manage records systematically.
Traditionally, records management programmes were promoted
as a means of space saving and cost reduction, and this argument is still valid
in paper environments where efficient management of records can offer
substantial savings on storage costs. In
the world of electronic and hybrid systems storage space has a lower profile,
and records management is more effectively promoted in terms of the need to
manage evidence and information to improve business performance and support
accountability and legal and regulatory compliance.
Ideally, senior management will agree that the
programme is to encompass all records in all media throughout the organization.
Even if some parts of the organization already have local systems in place,
these should be reviewed and incorporated into an organization-wide programme.
Sometimes key players need to be convinced of the
need for a programme that is truly comprehensive. Some individuals may believe that records management is only
concerned with paper records. A
common misapprehension is that back-up systems operated by computing units will
provide for the ‘archiving’ of electronic records, and it may be necessary to
explain that back-up mechanisms designed to allow recovery from hardware or
software failures are not sufficient to support the ongoing management,
accessibility and use of records. Sometimes it is proposed that records
management should be concerned only with records that are no longer required
for the current business of the organization. While older paper records have
often been the focus of records management programmes in the past,
organizations now need to recognize that requirements for trustworthy evidence
of their activities can only be met in full when all media are covered, and
when records management issues are addressed at the point where records creation
systems are designed and used.
In practice, however, resource limitations or
political factors sometimes mean that a comprehensive programme appears to be
an unrealistic aim. In such cases, the initial policy decision may be to
establish a programme of more limited scope. It is common for organizations new
to the concept of records management to start on a small scale, and for systems
to spread across the organization as the benefits become clear and top
management support increases. In some cases a small pilot programme may be
formally agreed, with future decisions dependent on the success of the pilot.
However modest the initial programme, a systematic approach to planning, design
and implementation will be required.
Defining initial responsibilities
When a records management programme is introduced,
responsibility rests at several levels. Senior management support is vital to
the success of the project. It is essential to involve the chief executive or
management board from the start, so that they support the programme, endorse
the policy and provide resources.
At an early stage, key stakeholders can be brought
together in a records management policy group or committee. Members of the
group are likely to include business unit managers and senior computing,
information management, financial, legal and corporate governance specialists.
Such a group will provide a high level of management expertise to direct the project and assist in
decision making and implementation.
An appropriate individual must be designated to take
the lead role in planning and implementing the programme. The organization may
choose to:
·
appoint
a consultant
·
assign
responsibility to an existing member of staff
·
employ
an experienced records manager on a long or short term contract.
Consultants can bring an impartial and experienced
view and are often available at fairly short notice. They will undertake a
project quickly and produce recommendations which are likely to be taken
seriously by senior managers. However, it is important to select consultants
with proven expertise in records management (rather than in, for example,
library and information management which requires a different balance of
skills) and who can show a real understanding of the organization’s needs.
Consultants who import their standard blueprint should be avoided in favour of
those who can tailor a solution to organizational requirements. Consultants may
be used only for preliminary advice and planning or may also assist with
implementation; in either case the organization will need to find staff to
develop and maintain the programme after the consultant has left.
Assigning responsibility to an existing staff member
has the advantage that the employee already knows the organization well.
However, existing employees may lack the necessary skills (and thus need
retraining). If records management is simply added to their other duties, staff
with sufficient seniority to establish a records management programme may lack
the time or interest to devote to its design and implementation. If more junior
staff such as registry or filing supervisors are assigned to the task, they
will lack the credibility or authority to implement significant changes.
However, if the organization has staff such as archivists who have been trained
in records management, their responsibilities could be extended accordingly.
Probably the ideal solution is to employ a suitably
qualified and experienced records manager. The initial recruitment of a records
manager sometimes follows a consultant’s recommendations and may be on a
contract basis until the organization becomes fully committed to a long-term
investment.
The individual appointed to establish the records
management programme will become a key member of the policy group and will need
to call on the expertise of other group members. In an organization of any
size, more than one individual will be required and a multidisciplinary team of
project workers will be set up, perhaps including appropriate members of the
policy group as well as others with relevant skills and interests. The records
manager may lead the team or a
separate project manager may be employed to oversee the project while leaving
the professional decisions to those with records management qualifications or
experience. Whichever model is followed, account must be taken of the project
management issues discussed in Chapter 2.
Developing
records management programmes and systems
The ISO 15489 methodology
A design and implementation methodology for
sustainable records management is recommended in ISO 15489-1:2001, clause 8.4.
The methodology is based on the Australian records management standard AS
4390.3-1996, clause 6.2.2. It has eight components:
·
preliminary
investigation
·
analysis
of business activity
·
identification
of requirements for records
·
assessment
of existing systems
·
identification
of strategies for satisfying records requirements
·
design
of a records system
·
implementation
of a records system
·
post-implementation
review.
The methodology is valid both for the establishment
of the records management programme as a whole and for the development of
particular systems within it. When a new records management programme is
established some systems and subsystems will necessarily be introduced before
others, but if records management is to be adopted in a uniform manner across
the whole organization it will be essential to keep the ‘big picture’ in mind
throughout the development process. ISO 15489-1 emphasizes that the methodology
need not be linear: the tasks can be undertaken iteratively or gradually.
Detailed guidelines originally based on the AS
4390.3 version of this methodology are available in the Designing and implementing recordkeeping systems (DIRKS) manual
published by the National Archives of Australia (2001). These guidelines set
out a rigorous approach and were designed primarily for Australian public
sector organizations, but offer useful and practical advice applicable to all
sectors. The British Standards Institution has published shorter guidelines
based on the ISO version of the methodology: PD 0025-2:2002, Effective records management: practical
implementation of BS ISO 15489-1.
Preliminary investigation and analysis of business
activity
When establishing a records management programme,
the starting point is to gain an understanding of the role, purpose and
environment of the organization and to analyse its structures, functions,
processes and activities (ISO 15489-1:2001, clause 8.4). This involves
examining why the organization exists, what products or services it offers, how
it operates in the present, how it plans to operate in the future and what
changes to its operations and methods have been made in the past. It also
involves an investigation of external factors affecting the way the
organization operates, including its economic, political, legal, regulatory and
social environment.
Techniques which can be used in these investigations
have been discussed in Chapter 2. Chapter 2 has also described how a detailed
analysis can be made of the functions and processes which the organization
undertakes.
Identification of requirements for records
The preliminary investigation and the analysis of
functions and processes provide essential background information about factors which influence or determine
requirements
for the creation and maintenance of records. Such requirements will vary from
one function or process to another. Some will be explicitly stated in
legislation or regulations but others are likely to be implicit in the
business, accountability or cultural needs of the organization or the wider
community. If the organization has a formal compliance programme, measures may
already be in place to ensure that relevant laws, regulations and standards are
observed; but account must also be taken of the other needs of internal and
external stakeholders, including the organization’s staff and customers.
As the records management programme develops,
judgments must also be made on the extent to which the organization will seek
to meet each particular requirement. As well as identifying stakeholders’ needs
for records of particular processes, it will be necessary to assess the costs
which the organization will incur in meeting those needs and the possible
consequences if the needs are not met. Sometimes it may be decided that the
cost of creating or capturing records of a process cannot be justified, since
the risk attaching to their absence is low; or that records of a process will
be captured but the costs of long-term retention or maximum security provision
are unwarranted. In other cases the need for records may be judged to be
critical: if the risk attaching to their absence or defectiveness is high,
requirements for records will be met in full. Such decisions must be ratified
at senior level within the organization.
Assessment of existing systems
Records managers rarely work in virgin territory.
Occasionally they may have the opportunity to design systems for newly
established functional areas, or even for a new organization, but more often
their work is concerned with the records of functions and processes which have
been in operation for some time. In this situation they must take account of
the existing records as well as plan for the management of those created in the
future.
The key tool for gaining control of these legacy
records is the records survey. As noted in Chapter 2, a survey enables records
managers to assess both the records themselves and the systems used to manage
them in the past. It provides the opportunity to learn how the organization’s
functions, structures and environment have affected the creation and
maintenance of its existing records. It also provides the opportunity to
discover how far the existing systems match up to the requirements that have
been identified and where they fall short.
In organizations where no structured records
management programme has been in place, surveys often reveal a variety of
problems. Typically a survey may find that:
·
paper
records systems are congested, and in some cases have been used to store information
products and other materials which are not records
·
paper
records are poorly organized and difficult to retrieve, and their arrangement
does not fully reflect the processes and activities which led to their creation
·
parts
of some record series appear to be missing from the paper systems, but some of
the missing records are believed to be held in electronic form on personal
computers
·
computer
storage is not organized to match the paper system, but each worker follows
their own system: most store records alongside work in progress, and many use
random and seemingly meaningless file titles, so that correlating electronic
and paper documentation is impossible
·
records
stored on personal computers are inaccessible when the worker is absent
·
further records which are needed appear to have
been lost or destroyed, but no-one knows exactly what exists or where
·
when
employees leave or change jobs, computing staff clear the contents of their
hard disk or personal account: everything is deleted regardless of any continuing
value it may have for the organization
·
older
paper records, together with some unlabelled computer tapes or floppy disks,
are in unmarked cabinets and boxes in a basement.
Surveys do not always find the existing situation as
dire as this. Sometimes a survey discovers that fairly adequate systems are in
place even if they have not been designed to professional standards. There may
be an existing infrastructure of records staff, accommodation and equipment,
which can be used as a basis for future development.
Where an embryo records management service already
exists, it is often helpful to evaluate it by means of a SWOT analysis (Figure
8.1). The acronym SWOT refers to the strengths
and weaknesses of the service and the
opportunities and threats which it faces. SWOT analysis can be applied to develop
and extend the conclusions drawn from investigation of the external
environment. It seeks to identify the opportunities and threats in the external
environment and the strengths and weaknesses of existing resources and
activities which might be used to take advantage of opportunities or avert
threats. The analysis enables informed decisions to be taken about the ability
of the existing records service to
contribute to the development of a new programme.
Figure 8.1 Example of a
SWOT analysis for a records service
Internal
factors |
External
factors |
||
Strengths
v
long-serving and
committed records staff v
good relations
between records staff and users v
capacious and
well-equipped storage areas for paper records v
established systems
for controlling access and maintaining confidentiality. |
|
Opportunities v
new privacy and
freedom of information legislation highlights the importance of effective
records management systems v
new senior
executive has a more open attitude to records management v
outsourcing of
support services means that the need for documentation of contracts and
service level agreements has a high profile. |
|
Weaknesses v
lack of staff
skills, especially in managing electronic records v
lack of integration
between electronic and paper records v
no coordination
between systems in different parts of the organization v
inadequate funding. |
|
Threats v
management of
electronic record creating systems is driven by information systems
provision; software packages and hardware combinations are chosen by computing
specialists with little or no regard for records management implications v
outsourcing of
support services means that there is little in-house access to information
technology expertise for advice on electronic records issues. |
|
Identification of strategies for satisfying records requirements
Strategies to satisfy the requirements that have
been identified may include adopting policies, standards, guidelines, procedures
and practices; such strategies can be applied separately or in combination (ISO
15489-1:2001, clause 8.4). When establishing a new programme, it is also
necessary to agree the balance between centralization and decentralization, as
discussed in Chapter 6. The strategies chosen must suit the environment,
culture and technical capabilities of the organization, and will guide the
design and implementation of the programme and its components.
Organizational culture is an important factor in
selecting appropriate strategies. For example, in recent years most
organizations have actively encouraged employees to focus on outcomes and
productivity; while commendable in many ways, this has sometimes created a
culture where capture and maintenance of records is perceived as unimportant.
Similarly where staff turnover is high, or where staff are employed on
short-term contracts, many employees are likely to have little concern for the
organization’s longer-term needs for records of their activities. If
operational staff appear to lack motivation to capture or maintain records
systematically, policies and guidelines must be supplemented by other
strategies. Particularly in highly decentralized systems, promotional or
training strategies are likely to have a major role.
Strategies in a paper environment will include the
use of agreed procedures (such as procedures for capturing and classifying
records correctly and for transferring them to alternative storage). Additional
strategies must then be selected to ensure that the procedures are followed. In some organizations, it may be
appropriate to rely on assigning responsibility for these tasks to records
management staff or other designated postholders. Where day-to-day
responsibility is to rest with operational staff, there may be a need for
senior management directives, supervisory checks or regular monitoring to
enforce compliance.
In electronic environments similar choices must be
made, but there is an additional option of using system functionality to ensure
that records management requirements are met. For example, computer systems could be configured to purge personal
directories or e-mail accounts of any items that have not been accessed for a
stated number of weeks, thus obliging the user to capture records to a formal
records management system if they are not be lost. As noted in Chapter 4, with many routine processes it is also
possible to rely on purely technological strategies which allow records capture
and other requirements to be met automatically.
As decisions are made on records requirements and
strategies, the initial policy statement is likely to need amplification or
revision. An overarching records
management policy should be developed, setting out the aim, scope and
objectives of the records management programme (Figure 8.2); where necessary it
should be supported by more specific policies on creation, capture, retention,
access or other aspects of the programme.
Figure 8.2 Components of a records
management policy statement
Component |
|
Example of wording |
|
v
Outline of the
legislative or regulatory framework, or reference to other standards or best
practice |
|
‘Our records management programme
will seek to comply with ISO 15489-1 Records
management and ISO 9000 Quality
management systems. As a public body, we are also bound under the Freedom
of Information Act 2000 to maintain and make available records to which
citizens have a right of access.’ |
|
v
Aim and scope of
the programme |
|
‘The aim of the programme is the
effective management of our records as a source of evidence and information.
It encompasses records in all media and in all parts of the organization.’ |
|
v
Key objectives for
the programme |
|
‘The programme’s objectives are to
ensure that: ·
adequate records of
our business activities are created ·
appropriate access
to those records is provided for all authorized users ·
records required
for business, accountability or cultural purposes are retained and remain
usable for as long as they are needed ·
records of
long-term value are identified and preserved as archives ·
other records are
confidentially destroyed when no longer required.’ |
|
v
Statement of
responsibilities for records management |
|
‘The Central Records Service is
responsible for ensuring the implementation of the programme. It provides
records management services to all departments, including those at satellite
sites. All staff are responsible for the proper management of the records
they create and use and should follow the procedures and guidance of the
Central Records Service. Central Records staff are responsible for offering
support and training and for monitoring of standards. Liaison staff in each
department can give local advice and assistance. The Information Services
Division is responsible for the technical aspects of managing electronic
records and the Central Records Service will work closely with Information
Services to provide a comprehensive service.’ |
|
v
Definitions of
technical terms |
|
‘In this policy, records means any documents or data which form recorded evidence
of a business activity.’ |
|
v
References to
specific policies and other more detailed documentation |
|
‘Policy guidelines on records
capture, media conversion and migration … and records procedure manuals,
classification schemes and retention schedules … are available on the
intranet.’ |
|
Once the policy statement has been drafted, perhaps
by a records policy group or committee, it needs to be approved by senior
managers and endorsed by the chief executive or management board. When this has
been achieved, the organization’s directors have formally accepted responsibility
for good records management and have given their authority for the inauguration
of the programme.
Responsibilities
for records management must also be defined more precisely at this stage.
Primary responsibility should be assigned to a records manager, who may be
supported by other staff. Especially in role culture organizations,
consideration must be given to the location of the records management service
within the organizational structure. It may be an independent unit or a part of
a larger department such as information services, facilities management, legal
services or central administration.
Decisions are also needed on the extent of the
records manager’s responsibilities. For example:
1
If storage of current paper records is to become or remain
decentralized, how much authority will the records manager have with regard to
records held in business units?
2
If the records manager is to assume custody of such records later in
their life, what rights and obligations will be transferred along with the
records, and how much responsibility for their control and management will
remain with business units?
3
Are the organization’s archival records to be managed separately or
will they form part of the records manager’s remit?
Decisions on these matters should be incorporated
into the policy document, together with statements on the records management
responsibilities of operational staff and information technology specialists.
Since records management must be adopted across
functional and departmental boundaries, and needs formal links with other
business functions such as information technology and compliance management,
the policy group overseeing the initial project can usefully be given a
permanent status. Such a group should
be a formally established body which can contribute to the further development
of the records management policy, advise on procedural issues and act as a
forum for communication between records experts and senior operational
managers. It might be chaired by a management board member or by the records
manager or another senior member of staff.
Designing systems and identifying resources
When appropriate strategies have been agreed,
records management systems can be designed in detail. Designs should be based
on the requirements and strategies that have been identified and should follow
the principles and techniques discussed in earlier chapters of this book. They
must take account of the size and resources of the organization, and the extent
to which its operations are concentrated on one site or geographically
dispersed. At an operational level, systems must also be designed so that they
comply with regulatory or best practice requirements for health and safety in
the workplace.
Chapter 1 has noted that a single organization-wide
records management system may be feasible in a small organization, but in
larger organizations separate systems will probably be needed in different
functional areas. While common models should be used where appropriate, it is
also important that each system is designed to match the needs of the relevant
business processes and activities. When technological solutions are to be
employed for records capture, relevant functionality should be built into
operational systems as far as possible. If operational staff are to be asked to
follow specific procedures, instructions can usefully be incorporated into
guidelines which have wider scope: for example, records management rules about
the capture of e-mail messages can be included in corporate guidelines on
e-mail use, or instructions for managing records of a particular business
process included in procedural manuals relating to the process concerned.
Depending on organizational requirements, retrieval
mechanisms for records may be designed to stand alone, or may need to be
integrated with particular business process tools or with corporate information
systems. While their evidential qualities differentiate records from other
information sources, many users want to use records simply to gain access to
their information content. If structured information
from records is widely used beyond the process where the records are created,
it may be appropriate to design records
management systems so that they can support the copying of the relevant data to
a dedicated information environment such as a statistical or decision-support
application. Alternatively, if wide-ranging use is made of information obtained
by direct consultation of the records themselves, records management systems
may be designed to share an interface with library systems, corporate databases
or information products published on an intranet. Particularly in larger
organizations, records or metadata maintained electronically may be accessed
through a corporate information portal. For optimum integration, both technical
and semantic interoperability will be required: as well as appropriate
technological standards it will be necessary to use index terms which share a
common vocabulary.
In geographically dispersed organizations it may be
necessary to provide for staff at one location to gain access to records
created or held at another. Internet technology can facilitate remote access to
electronic records as well as the provision of common gateways for records and
other information resources. However, the advantages of shared access to
corporate information must be balanced against the overriding need to design
systems which protect the evidential value of records by preserving their
functional context and integrity.
Resources are a prerequisite for a new records
management service. Staff with specialist skills, accommodation and equipment
will be required, and these requirements must be identified and costed when
programmes and systems are designed.
In larger organizations, several types of records management staff will be needed.
One or more professional members of staff will be responsible for the direction
of the records management service and for systems development (Figure 8.3). The
senior records professional may also be responsible for other services such as
data protection or freedom of information compliance, mailroom services or
internal communications.
It can sometimes be difficult to identify a
‘professional records manager’. Many people working in records management have
added records management skills to a professional background in information
management, librarianship or business administration. Others have a
postgraduate qualification in records or archives management. Many countries
have a framework for the training and development of records managers. A survey
in 1997 (Yusof and Chell, 1998, 33-51) identified more than 80 academic
institutions in 26 countries worldwide which offer undergraduate or
postgraduate training in records management, either as standalone courses or in
conjunction with educational programmes in archives, information science or
other subjects. Distance learning courses are increasingly available. Links to
the websites of many training providers can be found on the UNESCO
Archives Portal.
Membership of a professional association is often an
indicator of commitment to a professional career in records management. Some of
the major professional associations are listed in Appendix C. Formal routes for
continuing professional development are offered in some countries. The
certification programme of the Institute of Certified Records Managers, based
in the USA, requires its members to undertake 100 hours of approved educational
activity every five years. In the UK and Ireland, the Society of Archivists’
Professional Register requires candidates to have three years’
post-qualification experience and to show evidence of professional development
in this period.
Figure 8.3 Example of a
job description for a professional records manager
|
Job description : Records Manager Job purpose: to develop and manage a records management
programme which meets the business, accountability and cultural needs of the
organization. Reporting to the
Deputy Chief Executive, the postholder is responsible for: 1. managing the Central Records Service
and its operations 2. undertaking needs analysis, strategic
planning and policy development for records management 3. developing and maintaining
appropriate records management systems, liaising with client departments as
necessary and ensuring that all legal and regulatory obligations are met 4. managing the implementation of a
system for electronic records management, in conjunction with the Information
Services Division, and ensuring its full integration with existing paper
records systems 5. devising and delivering records
management training for staff throughout the organization 6. devising and maintaining quality
control and compliance procedures for records management 7. supervising other records management
staff and assisting them to develop appropriate skills and capabilities 8. planning and managing the budget for
the Central Records Service. Person
specification Qualifications and
experience: 1. postgraduate qualification in records
management 2. at least five years’ experience in a
records management service. Aptitudes: 1. financial and staff management
skills, or aptitude to acquire them 2. familiarity with office automation
systems and specialist software applications for records management 3. ability to communicate effectively in
writing and orally with staff at all levels. |
|
Especially where records are maintained on paper,
professional staff in larger organizations will be supported by records
assistants responsible for carrying out procedures on a day-to-day basis
(Figure 8.4). Intermediate tiers of supervisory staff may also be employed. In
some organizations clerical, portering, cleaning or maintenance staff are
dedicated to the records management unit; elsewhere these services may be
provided centrally.
Records assistants and paraprofessionals may be
school leavers or graduates with information technology, keyboard or
administrative skills. Sometimes paraprofessional posts are used to give
experience to aspiring professionals. In some countries there are technical
courses offering task and skill centred training for paraprofessional staff
working in records management, although where such courses exist they do not
always lead to formal qualifications.
Figure 8.4 Example of a
job description for a records assistant
|
Job description : Records Assistant Job purpose: to
assist in the running of the University’s records centre. Reporting to the
Records Centre Manager, the postholder is responsible for: 1. processing user requests, including
retrieving and reshelving paper records 2. preparing records for transfer from
current storage to the records centre, and checking deliveries and transfer
lists 3. preparing records for scanning or
conversion to microfilm 4. checking the quality of scanned or
filmed images 5. processing records designated for
destruction or transfer to the University Archives 6. completing documentation associated
with the tasks set out above, and entering relevant data into the Central
Records Service database 7. assisting professional records management
staff in other tasks as appropriate. Person
specification Qualifications and
experience: 1. a school leaver or graduate 2. at least one year’s general office
experience or experience in a records management service. Aptitudes: 1. fair keyboard skills (40 wpm) 2. familiarity with office automation
systems, including word-processing, e-mail and databases 3. ability to interact with users
courteously and effectively. |
|
In practice the head of the records management unit
will not have line management responsibility for all staff involved in records
activities. Most records creation is necessarily the responsibility of
operational staff across the organization. In decentralized systems, some
records staff may work locally within business units: such staff may form part
of the central records management team or report to a manager within the
business unit concerned. Ideally they
should be professionally responsible to the head of records management even if
they report to another manager for operational purposes.
Where business units have no dedicated records
staff, some organizations establish a liaison network, whose members might meet
periodically but mainly work remotely. Each business unit nominates a liaison
officer to take responsibility for records management locally. This type of
network can supplement a senior policy group in bringing ownership of records
management into business units and providing a focus of expertise to contribute
to development of the programme. The records manager can use the network to
disseminate procedures and monitor implementation.
In addition to suitable staff and office facilities
for them, a records management unit is likely to require the use of accommodation or equipment for a number
of specialist purposes. These may include mail sorting and delivery facilities,
one or more records storage areas, microfilm or digitization facilities and
access to services such as transport and confidential waste destruction. Issues
relating to the planning of accommodation have been discussed in Chapter 6.
Advice should also be sought from architects, structural engineers, builders or
equipment suppliers.
Technological solutions are almost certain to form
part of any systems design. These may include the addition of enhanced records
management functionality to existing software applications, the acquisition of
a new application to support records management, or both. When acquiring a new
application the first steps are to define the functionality that is needed and
draw up a specification of requirements. In some organizations there may be an
option to have a system specially
built to match the specification, but more commonly an existing commercial
product will be purchased. For paper records, organizations have sometimes
chosen to use a number of separate small databases to manage different aspects
of a records management programme, but where resources allow it is preferable
to use a single integrated application. In a hybrid environment the application
should be able to support the management of records in any medium. It should
provide a range of retrieval and reporting tools that can be used to find
information about the records, instigate disposal or other actions when
required and produce reports and statistical analyses so that the records
management unit can account for its activities and plan for the future.
The published standards listed in Figure 4.5 may be
used to help identify necessary enhancements to existing applications to
support the management of electronic records, and can also be used or adapted
when specifying the functionality required from a new ERM application. Some
national bodies, such as the US Department of Defense and the UK Public Record
Office, have issued lists of records management software applications which
they have tested and approved.
While some commercial packages for records
management are bought ready to run, others allow or require varying degrees of adaptation or further development of
the supplier’s core product. Whichever route is followed, the software must be
compatible with existing or available hardware platforms and operating systems,
portable to future platforms and scalable for expected rates of growth. Where
necessary it must also provide technical interoperability with other relevant
applications.
Procedures for software purchases vary between
organizations, but usually it is appropriate to contact a number of suppliers and make a preliminary evaluation of
available products against the specification of requirements. The reputation
and financial stability of suppliers should also be investigated, before making
a shortlist of suppliers who are formally invited to tender. All tenderers should be sent a copy of the
specification and a statement of compatibility, scalability and
interoperability requirements, and asked to provide a detailed written response
stating precisely how their product matches what is required. They should be
advised that, when a selection has been made, their response will be
incorporated into any eventual contract together with the organization’s
requirements for maintenance and support services and the supply of future
upgrades.
Records systems design necessarily includes the planning of documentation. Traditionally this required the design and production of numerous control forms: both internal
forms such as charge-out sheets, location registers and survey forms for use by
records management staff and forms such as transfer lists and records request
forms for interaction with users. Today most of the data provided on such forms
are collected and maintained electronically, and if a records management
software package is acquired it will provide most or all of the necessary
infrastructure. Nevertheless there will still be a need for decisions about
documentation and data collection, whether in customizing the interface
provided by a software package or in preparing documentation for distribution
on paper or through an intranet.
There are three broad categories of records
management documentation:
1
Programme documentation includes policy statements,
organizational records management standards and guidelines, and business plans
for the records management service.
2
Systems documentation captures information about
the logical infrastructure of the system (including logical models of functions
and activities, classification schemes and retention schedules) its physical
infrastructure (including storage plans and location metadata) and operational
procedures for records management staff and users (including procedural
guidelines, which may be brought together in a procedure manual). Systems
documentation may need to be made
available in different versions for records staff and for users; records
management software packages often support this by providing different views of
relevant metadata.
3
Promotional materials include publicity brochures,
leaflets and web pages giving general information about records management
services.
Whatever the systems design, its implementation will
require adequate financial resources.
There will also be recurrent costs for staff, accommodation, supplies,
equipment and services purchased. To meet these costs, records management will
need a budget. Depending on the organizational structure this may be an
independent cost centre under the control of the senior records manager, which
enables priorities to be set and expenditure controlled locally, or part of the
budget of a larger business unit of which records management forms part.
Sometimes records managers are expected to negotiate
agreements with business units for delivery of records management services and
to derive the records management budget from internal contracts of this kind.
If successful, this approach can provide records management with close user
links and a high profile within the organization. If records management is
funded centrally, its funding is simpler to manage but may be vulnerable to
cuts in budgets for non-income earning functions. Sometimes records management
is funded from a mixture of sources: an allocation for central services ensures
a spread of good practice across the organization, and can be supplemented by
charging for value added services delivered in individual business areas.
Planning and managing implementation
When the prerequisites are in place, decisions must
be made about priorities for implementation. New systems may have to be
introduced in stages, allowing time for piloting and testing each component
before full implementation. Existing systems may have to be partly or wholly
restructured: while it is sometimes possible to implement a new system
independently of any need to resolve problems inherited from past practice,
more usually existing arrangements must be integrated into the new design.
Priorities will vary according to local
circumstances, but in general it is unwise to attempt the implementation of new systems for electronic records until paper
systems are in good order. Business managers sometimes assume that the introduction
of information technology is all that is needed to solve problems of managing
paper records, but if the paper records are in disarray automation may simply
transfer the problem to a different medium.
Often the first step is to decongest the existing
systems by establishing appraisal criteria and eliminating records which are
redundant. Records which are identified for retention but are not expected to
be used for the current business of the organization can be separated and
removed to off-floor or offline storage.
If information products such as trade catalogues,
magazines or instruction manuals for office equipment have been interfiled with
paper records they should be moved to separate information files. Stocks of
office supplies and blank forms should also be segregated from the records
management system. Members of staff who keep personal papers or memorabilia in
their offices should be encouraged to establish a personal file so that these
do not become confused with organizational records.
Functional classification schemes are the
intellectual basis on which effective records systems are built. Once materials
that are not records have been separated out, record series corresponding to
business processes can be identified, classification
schemes implemented and systems for the capture, retention, maintenance and
retrieval of records built around them.
When a new classification scheme is introduced or an
old scheme revised, existing records may be reclassified or the new scheme
applied only to records created subsequently. Reclassifying existing records is
labour-intensive and can be prone to error. It is often more appropriate to
identify a date when the new scheme will come into use, and to leave records
created before that date with their classification under the old scheme.
Existing paper files should be closed on the agreed date, while electronic
folders can be made read-only so that no new items are added to them. It will
then be necessary to run the two schemes in tandem, often for several years.
Both will be required for retrieval, although only one will be used to classify
newly created records.
If this is likely to be difficult, or if management
of the existing records is critically hindered by the inadequacy of the
previous scheme, reclassification must be undertaken. Each file, folder or item
must be inspected so that a new classification can be assigned to it. In a busy
organization this is often impractical during working hours when records are in
use for business purposes, and it may be best for the task to be undertaken
during holiday periods or at weekends. Once started, the work needs to be
finished as quickly as the need for care and accuracy will allow, so that
business operations which use the records are not impeded. Sometimes it is
possible to reduce the scale of the task by limiting reclassification to the
most critical records or those created after a fixed date in the recent past.
Teamwork is likely to produce faster results than an exercise undertaken by one
person working alone, but it is important to ensure that all team members work
to the same standards. Another option is to reclassify on demand as old records
are needed.
Similar options are available for other
retrospective conversion tasks, such as converting paper-based metadata to
digital form, scanning paper records to create digital images or importing
electronic files from office suites into electronic
records management software applications. When records are to be digitized or
moved to a more robust software environment it is likely that additional
metadata will need to be captured. If this requires records to be reviewed
individually, this can be done while scanning or importing is in progress or as
a separate exercise when scanning or importing is complete. While import
processes may be largely automatic, upgrading of metadata usually requires
staff or contractors with specialist skills. The timing and scope of
retrospective conversion must take account of their availability.
Those parts of a system which relate to the
off-floor or offline management of older records are often easiest to
introduce. While the establishment of new current records systems can bring
substantial benefits in the medium and longer terms, nevertheless in the short
term it inevitably disrupts established working patterns; on the other hand,
improved systems for paper records whose usage rate has declined are usually
welcomed, because staff see an immediate benefit in the decongestion of their
working areas.
The introduction of new systems for managing records
will have an impact on all members of staff who create or use them in their
daily work. Training staff in the new systems is essential, but the issue
extends beyond training into wider areas of change management. Records managers
have a delicate task to perform in working with staff who are often very
possessive about ‘their’ records and may be apprehensive or unsympathetic when
records management systems are devised and standards imposed.
While the introduction of any corporate system of
records management brings a loss of personal control over records, additional
culture change issues often arise with electronic records management:
1
Some individuals may only feel comfortable with keeping records on
paper, because of its obvious visibility and its independence from computer
technology.
2
Some may accept the introduction of corporate systems for paper
records, but resist it where electronic records are concerned because of an
assumption that computer storage is essentially personal.
3
Many people find that an electronic records management system imposes
more discipline than the paper systems to which they are accustomed,
particularly if it changes the way
that they use standard office software or obliges them to complete record
profiles when records are captured.
4
Others become so committed to using electronic systems that they forget
paper resources altogether.
The starting point is usually the need to promote an
awareness of records as a corporate resource and an understanding that, whether
on paper or in electronic form, they are not merely for personal use. Culture
change often includes motivating staff to recognize the importance of good
records management, as well as building confidence in the new systems. The
organization’s records management policy should be notified to all staff,
together with a directive for its implementation. By itself, however, this will
not be sufficient. ‘Records managers will have to meet with staff throughout
the organization to express their enthusiasm’ for records management and
develop ‘a corporate culture in which employees take the documentation of their
activities seriously’ (Bearman, 1994, 112; 1995, 392). Staff must feel
ownership of the new systems and so it is essential that they participate as
fully as possible in the change process. A communications strategy should be
adopted, with workshops, demonstrations, meetings and interviews held as
necessary. Particularly in larger organizations, change agents (individuals who
can influence others and promote involvement in workshops and training
sessions) can be identified to assist the records manager in achieving a smooth
transition.
Post-implementation review
Design and implementation are the beginning of an
ongoing records management programme. After implementation, the programme and
each of its components must be reviewed and evaluated. The purpose of such
reviews is to monitor progress and measure success, so that senior management
can be informed of results and revisions to the programme can be made as
necessary. Review and evaluation will also be ongoing processes. Policies and
procedures should be examined regularly to ensure that they still meet the
organization’s requirements. Targets may be set and performance measured
against them. Records management services may also aim at compliance with
independent quality standards such as the ISO 9000 series Quality management systems.
Performance measurement seeks to define the
relationship between the resources going into a records management service and its
achievements, using both quantitative and qualitative measures. If a records
management software application is used, much quantitative information (for
example, on the frequency of records use) can be obtained from report output.
Other indicators of performance (such as the time taken to retrieve paper files
from storage) may have to be measured manually. Qualitative evaluation
(assessing how effectively the records requirements of the organization and the
needs of individual users are being met) requires techniques such as
interviews, questionnaires and observation of systems in operation. Quality
audits can be undertaken both internally and by external bodies.
Maintaining the impetus
Planning for the future and responding to change
The records management programme should have a place
in the strategic plans for the organization as a whole, and the records
management unit charged with carrying out the programme should produce a
business plan of its own. Where appropriate, a long-term business plan setting
out objectives over several years can be supplemented by short-term plans
indicating immediate operational priorities. Business plans should be regularly
reviewed and updated and should also be sufficiently flexible to allow a rapid
and effective response to changing requirements for records management.
The analytical techniques examined in Chapter 2 can
be reused when necessary in the ongoing management of the programme.
Particularly in times of organizational or legislative change, or at points of
significant technological evolution, it is helpful to deploy some of these
techniques to undertake a new analysis of the strategic position of the records
management service and to shape ideas on its future direction. For example,
reuse of the PEST analysis technique described in Chapter 2 can be valuable to
maintain current awareness of the wider environment. The SWOT analysis
described earlier in the present chapter can be repeated periodically to
analyse the resources available within the organization and help to ensure that
strengths are maximized and weaknesses minimized, so that opportunities can be
taken and threats avoided.
Records managers must be ready to react to changes
both to organizational structures and to the functions, processes and activities
which the organization performs. Structural changes occur frequently in
contemporary organizations, and records managers need to log information about
each change, in order to document the resultant shifts in responsibility for
functional areas of work and thus for the creation, capture or maintenance of
records. The functions of the organization, though relatively stable, may also
change over time, and changes to individual processes will be made at more or
less frequent intervals. Records managers may need to introduce new systems
when new functions are established and will certainly need to modify existing
systems from time to time in response to changes in the way that functions are
carried out. Such changes will require revision of the logical model of
functions and processes, and of the classification schemes and retention
schedules derived from it, to ensure that they are kept up to date as new types
of record creating activity are introduced or old ones discontinued.
Existing systems may also need revision to meet
other changes in requirements for records. Within the organization, these may
be triggered by new internal regulations or control measures, changes in
organizational culture or evolving business needs. Other events which may call
for a response are office moves, reductions in the size of the workforce, or
the introduction or revision of service agreements, market testing or
outsourcing requirements. Records managers must be constantly alert to such
developments and should respond appropriately.
In the wider environment, technological changes can
also be expected to have a major impact on a records management programme.
Records managers need to maintain an awareness of the arrival of new formats
for the creation and preservation of records, and of the implications of the
obsolescence of older formats. While the rapid rate of change in information
technology can sometimes appear daunting, it can also bring benefits in terms
of improved functionality for users and records management staff.
Other external factors include changes to laws or
statutory regulations, which may require the creation of new types of record or
the alteration of existing retention periods or access rights. In addition,
external pressures such as the passage of new legislation can sometimes provide
leverage and opportunity to raise the profile of records management or to
improve practices in difficult areas.
Records management programmes must remain focused on
the needs of their users, not on records retention for its own sake. Monitoring
new developments, responding to change and taking advantage of opportunities
all form part of the ongoing management of an effective programme. When there
is a need for significant modification of the programme components, some or all
of the design and implementation methodology recommended in ISO 15489-1:2001
should be applied. Appropriate elements from the methodology should be selected
to ensure that the changes are managed systematically.
Promoting competence, understanding and awareness
Training for users and records staff should be
provided on an ongoing basis, to ensure that records management objectives are
understood and best practices communicated throughout the organization. New
staff in particular will need to be informed about records management policies
and trained in the relevant procedures. Many organizations include a briefing
by the records manager in induction courses for new employees.
Awareness of records management issues can also be
promoted using newsletters (in paper or electronic form), posters, mouse mats,
records centre open days and other marketing techniques. If the programme is to
be successful the benefits of effective records management must be demonstrated
and emphasized to managers and staff at all levels in the organization.
Recording
records management
Records management activities must be subject to the
same records management discipline as other organizational activities. Records
of policy development and operational procedures in records management must be
captured and managed systematically. Operational records traditionally
comprised paper forms completed by users, records management staff or
contractors, but now often take the form of transactional data captured in a
database or records management software application. Retention decisions and
access controls should be applied to these records as rigorously as to records
created elsewhere in the organization.
Records of quality control processes in records
management must also be created, captured and managed over time. Evidence of
systematic monitoring and auditing of practices and procedures should be
maintained for as long as it is needed.
References
Bearman, D (1994) Electronic evidence: strategies for managing records in contemporary organizations,
Archives and Museum Informatics.
Bearman, D (1995) Archival
strategies, American Archivist, 58 (4), 380-413.
National Archives of Australia (2001) DIRKS:
a strategic approach to managing business information.
Yusof, Z M and Chell, R W (1998) Records management
education and training world-wide: a general overview of the current situation,
Records Management Journal, 8 (1), 25-54.
AS 4390-1996 Records
management, Standards Australia.
ISO 9000 series: ISO 9000:2000 Quality management systems – fundamentals and vocabulary, ISO
9001:2000 Quality management systems –
requirements and ISO 9004:2000 Quality
management systems – guidelines for performance improvements, International
Standards Organization.
ISO 15489-1:2001 Information
and documentation – records management
– part 1: general, International Standards Organization.
ISO/TR 15489-2:2001 Information and documentation – records management – part 2: guidelines, International Standards
Organization.
PD 0025-2:2002 Effective
records management: practical implementation of BS ISO 15489-1, British
Standards Institution.
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from the Welcome/Home Page on <15489>/<4390>/<9000>.