Sunday, June 07, 2009

Keeping Up with Technology

Question: I was recently asked by a client who is an information technology manager how I keep up with all the changes in technology that effect document management.

Response:

This is an excellent question and I could only respond, “I cannot” because the pace of change in technology has made it quite impossible for anyone to be proficient in all phases of document management. With all the changes in technology it is an exciting time to be in the information management field, but it is also can be a nightmare trying to manage business records.

Over time, we as records management professionals have heard a phrase like “we must challenge ourselves to gain new skills and expand our horizons through education” to keep up with technology. I frankly doubt that this is a possibility with all the changes that have occurred in the past couple of years. Five years ago I do not believe the terms “SaaS – Software as a Service”, “Microsoft Sharepoint™”, “Cloud”, Web 2.0, “Big Buckets”, “Blogging”, “Wiki’s”, “Twitter”, “Cloud Computing” were in our vocabulary. Each of these terms are relatively new and each, unfortunately, create document management challenges for the records manager as these technologies may be hard to control from a records management standpoint. They may provide new opportunities for the organization in their uses for collaboration, but may cause unknown risks for the organization in implementing the technology.

One thing that I remember being told years ago was “You don’t have to know everything on a subject, but you should know where you can find the answer”. How do you find the answers to questions when you are not knowledgeable about the subject? I personally use many resources to find answers to questions pertaining to my profession. Some that I use almost daily are:
• Records Management Professionals: Other professionals who are knowledgeable on the subject or may have implemented programs using the technology. I have found that most of those contacted are more than willing to answer questions and/or direct me to someone who may be willing to share their knowledge.
• Internet:
o I use the internet search capabilities of Google, Yahoo and Microsoft to find information on the specific topics. Always double check on the reliability of the web site and the answers you receive.
o I create Folders in Outlook for RM topics of interest and retain the email messages for future reference. I do review the folders every 6 months and use the delete button to remove items that are no longer useful. I create Folders in MS Outlook Favorites on websites that would be of interest to the RM professional.
o I joined the RM Listserv and use the Listserv archives to search for topics I am interested in and monitor the daily emails looking for topics of interest to me.
• Vendors:
o I attend vendor shows and vendor- sponsored seminars and file the information I gather at these events and retain for future reference.
o I keep a listing of vendors who I know are knowledgeable and/or I consider as experts in their field who are willing to share information.
• ARMA Conferences, Seminar and Chapter Meetings:
o I attend monthly chapter meetings as a way to meet other people working in our profession to see what they are doing to manage their records and/or attend programs on a topic of interest to me or my clients.
o I try to attend as many conferences and seminars that offer educational programs and/or information on specific areas of interest. An example is the ARMA International Conference in Las Vegas that provided educational sessions on Web 2.0, Email, and “Big Bucket” retention schedules.

I am a firm believer that we, as records management professionals must try to become pro-active rather than re-active to the changes in technology that effect our profession. I thoroughly believe we have an important role in raising awareness of the long term risks involved in utilizing new technology. Try not to be a nay-sayer, but try to be the one that opens communications with the organization’s information technology department on the use of new technology as it effects the management of the business records within the organization. Perhaps you can build a list of the pros and cons on any new technology being considered.

As professionals we should become aware of new developments in information technology field so we can be better equipped to provide input into the corporate planning phase on how the technology can be incorporated into organization safely.

While it may be impossible to know everything on how to use technology, we can use available resources at our fingertips to become aware of and find answers on the risks of implementing new technology into our organizations.

How do you develop a retention schedule?

Part II

I was asked this question by a department manager who was considering the development of a records management program for his department.

In a previous article in the May, 2009 issue of ‘Soundings’ I stated that the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.

The inventory process is also an excellent way to identify possible work process changes and identify records or reports that may no longer be required within the organization. This is where a flow chart may be useful to determine who sends or receives the documents. When I am working with a client I will ask the following questions:
• “What function does your position perform within the organization?”
• “What is your primary responsibility?”
• “What records are you responsible for?”

Records Appraisal and Retention Schedule Development

Once you have the inventory completed, the next stage in the development of a retention schedule is the appraisal of the records listed on the inventory. Types of informational values may include:
• Legal and regulatory value: records required by federal, state, county statues and regulations and form the basis for the retention period established for your records. Following the legal regulations demonstrates your compliance on maintaining your records.
• Fiscal Value: These are records that relate to the financial transactions of the organization and are required for audits and tax purposes.
• Administrative/Operational Value: These are normally records that do not have a legal, regulatory or fiscal value to the organization. They document activities within the organization and are created in the performance of the function. The record owner usually knows how long the records should be retained.
• Historic Value: If the organization has an official archives in-house the records maybe reviewed to see if they document the historic development of the organization. A question on the inventory form may be used to identify those records that may be considered archival.

Some organizations may also evaluate records that they considered as vital. These are records containing information that would be vital to business resumption in the event of a disaster. A question on the inventory form may be used to identify records that may be considered vital. You want to note that the record is vital on your retention schedule and may require additional protection by duplication.

The records appraisal also includes the need to conduct some research into the legal and regulatory (which includes fiscal) retention requirements for the records within your collection.

Some resources for legal research are:
• Software:
o Information Housing Clearing House – Retention Manager 3 (http://www.irch.com/index.htm)
o Zasio - Retention 7 (www.zasio.com)
• Federal (http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1)
Washington State – WAC (http://apps.leg.wa.gov/wac/) or RCW (http://apps.leg.wa.gov/)
• Washington State Secretary of State: http://www.secstate.wa.gov/archives/gs_local.aspx
• ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)
• Directory of State Archives and Records Management Programs www.statearchivists.org/states.htm#hi
• Associations may have established a generic retention schedules
• Users within the department may know of a legal requirement.

Once you have completed the legal research and developed the retention schedule you should have the schedule reviewed and approved by an approving authority within the organization to insure that the schedule meets the legal/operational needs. Some of the reviewers could be:
• Legal
• Auditor
• Financial Manager
• Tax
• Department
• Corporate Records Manager
• Corporate Records Committee (major owners of the records)

Additional Resources

Resources that I have used in the past for assistance in creating retention schedules have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA HQ Bookstore: “Sample Forms for Archival & Records Management Programs”, ARMA & SAA, 2002 (http://www.arma.org)

You may also want to check out other resources on retention schedule development that are available through the ARMA bookstore at www.arma.org.

How do you conduct a records inventory?

I was asked this question by a department manager who was considering the development of a records management program for his department.

Ideally, you would hope that the organization would have records management program in place. However, if the organization does not have a program there is nothing that would preclude a department from establishing a records management program to manage their business records. The key to success is management support. The manager should be actively involved in the establishment of the program by being visible and supportive throughout the process. They should be the one that authorizes the program, communicates the purpose of the program, assigns the project manager and remains active in the process to insure cooperation by the staff.

Records Inventory Methodology

A records inventory is the first step in establishing a department records management program. There are two established methods for conducting an inventory:
1. The Questionnaire method: a form is developed, sent to each group within the department and used to collect the information. The department personnel complete the form and return the information to the designated project lead or the;
2. The Physical survey method; the form is developed and an actual physical inventory of the records is completed by a project team member.

Both methods require individuals completing the questionnaire and/or survey. These individuals are trained on how to complete the survey. The records management purist will lean towards the physical survey methodology as it may provide a more accurate survey of the active and inactive records being maintained by the organization. I have personally used both methods and/or a combination of methods. Remember, the inventory should locate, identify and describe all the records within the department at the records series level, regardless of format (electronic, paper, microfilm, CD/DVD, etc.). The record series level is a set of related records that are used and filed as a unit.

Either method will require an in-depth review by the project lead and/or the individual who will eventually create the retention schedule for the department to insure all the information on the record series has been collected. It has been my experience that either survey method will require some follow-up with the department staff to insure complete understanding of the records series.

I have also found it useful to draw a simple flow chart of the records flow when reviewing the forms with the owner of the records. The flow chart provides a visual presentation on the creation, disposition, final ownership of the record series and who receives copies of the document. The flow chart may also assist in providing information that shows the transition from a paper record into a digital format.

Resources

Resources that I have used in the past for assistance in producing an inventory have been:
1. Ricks, Swafford & Gow, “Information Resource Management: A Records Systems Approach”, 3rd Ed, 1992, South-Western Publishing Co.
2. Read & Ginn, “Records Management”, 8th Ed., 2007, South-Western Publishing
3. ARMA International and SAA, “Sample Forms for Archival & Records Management Programs”, 2nd Edition, 2002, ARMA & SAA. The book also contains a CD with a collection of sample forms for both Archives and Records management in word and PDF format. Well worth the $28.00 for ARMA members or $40.00 for non-members. You can save the formats and modify them to meet your specific needs.

You may also want to check out other resources on retention schedule development hat are available through the ARMA bookstore at www.arma.org.

Remember the inventory is a crucial step in the development of an effective records management program and will be the primary document used in establishing the records retention schedule within the organization.

(To be continued next month)