Increasingly, RIM requirements and processes will be monitored vigilantly and audited periodically to confirm compliance.  RIM professionals will participate in business development, asking questions such as “What information must be captured and in what form will the Official Record(s) be established?” They’ll also actively participate in the selection and establishment of business applications, databases, and records repositories, asking questions like “Does the technology facilitate or at least make it easy to store and dispose of Official Records and/or copies?”  This is the future of Records and Information Management – is that what you’re thinking?

 Well, you say – “That’s not where I live – no, that’s not what I’m thinking – I have trouble getting individuals to fill out transmittal sheets, or to place Official Records in the correct repository, or to understand they shouldn’t keep every record they ever touched.  What else should I be thinking?”

Well, understanding the value of RIM, you are the one best able to guide your company to that future state, even while struggling through the every day issues.  The flag of Records Management may never fly at the top of the pole but you should be able to obtain resources (budget and manpower) for specific tasks, especially if your management team recognizes that its records are key business assets.  So what should you be thinking?

You should be thinking:

• I have an essential role to guide and move my company forward in the identification, selection and implementation of Records and Information Management requirements, tools, and processes.
• I have knowledge and understanding that needs to be absorbed and acted upon by employees, not just communicated.
• I need to be a visionary, teacher, coach, motivator, facilitator, guide, encourager, problem solver, and helper.  
• Implementation must be complete and comprehensive – Finding an old copy of a record in an obscure location, is no different than finding the original posted on a bulletin board.  It does no good to be rid of almost all copies.
• No exemptions from requirements.  Exceptions may be given for specific reasons, and for specific periods of time, with identified corrective action, but no exemptions.
• We don’t do Records and Information Management to satisfy legal and regulatory requirements.  RIM requirements, tools, and processes are efficiency improvements that enable the company to be more profitable and the employees more productive.  We do RIM to efficiently run the business, make money, and satisfy our customers.  Along the way, we satisfy legal and regulatory requirements also.

Implementation of a comprehensive RIM governance program is a cultural change – culture shock for some.  It changes what, and therefore who, is valued.  Commonly, individuals are found within companies that have “kept it all” and gained a reputation as the “Font of Knowledge.”  With the arrival of professional RIM management, these employees are required to give up their personal historic archive, placing Official Records in an authorized repository, and disposing of convenience copies when they have no personal need of them or the retention requirement has passed.   Cultural change is often the cause of pushback and resentment.  When individuals argue or complain about the smallest details or insignificant points – look to the impact on them or their job for the real source of difficulty.  Next time we’ll hear from an expert in cultural change, reviewing his “Rules of the Road” for cultural change.

I digress, but it reminds me of the poem “The Ambulance in the Valley,” written by Joseph Malins dating back to 1895.  The gist of the poem is a story of a town with a dangerous cliff and the strong debate whether to build a fence at the top of the cliff, or place an ambulance at the bottom of it.  Unfortunately “the cry for the ambulance carried the day,” as they chose reaction rather than prevention.

Are you choosing reaction over prevention?  The analogy is not perfect, as there will still be legal actions to respond to, but in a well managed RIM environment the “injuries” are much less severe and do not include punitive penalties for not knowing where the records are, or not being able to produce them in a timely manner.

So when Corporate / Corporate Legal decides to fund the RIM project – what should they pay for?

• Personnel – Compensate for the time of individuals within the company to do the work. Realistically, if you are taking 50% of someone’s time on an ongoing basis to develop, coordinate or implement project work – reimburse the department so they can obtain a replacement.  It will pay dividends with attitude changes for the priority of the project and participation in its activities.
• Materials – Cartons, folders, labels, markers, etc.  If it supports the project – pay for it. Don’t quibble – you don’t want to waste people’s time arguing over whether the markers are really needed.
• Travel – Does someone need to go somewhere to spread the message or inspect records stored offsite?
• RIM Services – Shredding, return of cartons, inspection of cartons and re-filing of cartons to name a few.
• Outside Expertise – Do you need a consultant to develop a firm foundation of Records Management Policies and Procedures including a Records Retention Schedule?  Perhaps you need someone to do a Gap Analysis to identify “soft spots” for improvement.  Do you need to bring in a records program manager or a project manager to support your existing RIM team and fully track and assure progress of the project?  Maybe you need a temporary workforce (summer students?) to perform specific compliance accomplishing tasks?

Once this “one time” compliance project is accomplished – the program switches to a steady-state mode where departments are now benefiting from the new efficiencies.  Less time is needed to find the necessary records and information to perform their tasks and manage their records.  Offsite storage volume has been reduced, therefore reducing costs.  Now it is appropriate for departments to contribute and provide RIM resources to maintain RIM compliance including:

• Recruiting a local records coordinator
• Monitoring internal compliance
• Establishing and conducting an annual clean-up day
• Initiating and supporting continuous improvement

It is important to note that providing funds to the department to make improvements is a GAME CHANGER.  It establishes a positive environment for change and expedites the development and implementation of improvements.  It also establishes an accountability that just isn’t there for unfunded mandates.

According to the report:

• 80% of organizations surveyed have formal Records and Information Management (RIM) policies.
• 72% of organizations surveyed are very committed to RIM program improvement.
• 94% of respondents intend to apply more budget and resources to RIM in the coming year.

However, the same report also revealed that only:

• 37% of all respondents consistently apply RIM policies across the enterprise.

And that:

• 36% of all respondents offer no or very limited RIM training.

These are some troubling numbers. Many companies have a lot of work to do.

If you are in the 63% of respondents that do not consistently apply RIM policies across the enterprise and the 36% of respondents that offer no or very limited RIM training, incremental improvements may never get you were you want, or need to be.  You may need a breakout project to get your house in order and set the course for ongoing steady-state compliance.  Many companies would find great benefit from a project that would:

1. Establish clear and comprehensive RIM policies and procedures
2. Establish a legally credible comprehensive Records Retention Schedule
3. Establish RIM Governance – from executive oversight, down to and including local records coordinators
4. Train all employees in RIM
5. Establish RIM compliance as a job requirement. Remember, it only takes one individual retaining records or information that should have been disposed of, or disposing of records or information that should be retained – to sink the ship.

Perform a onetime comprehensive compliance review of records and information to:

• Dispose of records and information you don’t need
• Identify record types and assign retention requirements per the Records Retention Schedule
• Establish locations for all “active” and “inactive” Official Records of all media types (commonly called “Official Repositories”) which would then comprise an information map

This breakout project sets the RIM house in order, eliminating waste (the expense of keeping records and information no longer needed), reducing risk (out of date records and extraneous information are purged) and improving business efficiency (less time and expense for records retrieval, processing and storage, as well as reduced time and expense for legal discovery). 

It doesn’t all need to be all done in one year, and (depending on the gap between the current state and future state) most likely cannot all be done in one year.  Two to three years is often appropriate given the expertise, manpower, budget and implementation activity requirements. 

Often the biggest obstacle is budget – where is the money going to come from?  Despite the fact that companies are in business doing different things with different organizational structures – there is a common answer.   That is the subject of the next blog entitled: “Maturing Your RIM Program: Money, Money, Who’s got the Money?”

So how does an executive who gets it (that records are a corporate asset – see The Psychology of Records Management: The Foundation) clearly communicate that corporate records management is now a corporate priority that is to be accomplished by full cooperation and participation by the entire workforce – understanding that anything less than full compliance causes unknown and unacceptable risk to the company.

• Finance the RIM full compliance project – Funding a corporate mandate is one of the strongest signals that can be sent. Providing resources to accomplish an objective garners support and leaves little room for lack of accomplishment. 
• Be a spokesperson – Provide introductory and regular communications supporting the program, explaining its goals, reporting on progress, and activities remaining.
• Be an advocate – Explain why it makes sense and is of value to the company.
• Be a cheerleader – Acknowledge and recognize those individuals and areas that have been successful in embracing and complying with the RIM requirements.
• Lead by example – Visibly embrace and comply with the RIM requirements in your area of direct control.
• Assign respected individuals – Fill positions of responsibility (from “responsible executive” and Records Manager to Department Coordinators) with individuals who are known and respected for their capabilities and accomplishments.  Include “up and comers” (excellent opportunity to learn operations and develop leadership skills with minimal risk).
•  Participate in the RIM program – Learn the details of the RIM program (not difficult) and consider becoming an instructor – perhaps for your direct reports?

With too much to do, and not enough time or budget to accomplish it all, employees try to determine what is really important to their leadership and then align their time and budgets with those priorities.

I digress – I recall a time some years ago when our division got a new executive vice-president as the CEO.  This vice-president was a little different than his predecessors as he favored cardigan sweaters rather than suits or sport jackets.  It was interesting (and a bit amusing) to observe how members of his staff (and then their staffs) over time (never been seen in sweaters) also started sporting cardigan sweaters!

I digress, but can you imagine a work environment without any Records and Information Management?  Imagine papers lying on the floor, in hallways, in bathrooms, and literally flying in the breeze.  Records may be in folders, but the folders have no identification and the contents have no known association.  Everyone is free to pick up any paper they find, to read, to relocate, to keep, or to destroy – anytime they choose.  Take some home and let your children use the back sides for their homework assignments.  Grab a bunch and see if they will sell on eBay.  If papers are in boxes, with the disarray of the papers in the box, it is hard to tell if they are garbage or storage.  The thought is ludicrous.  So it turns out we all have some inborn desire and instinctive nature to manage records. It’s natural to manage records!

So with an innate desire to manage Records, but no priority to do so, how does a company establish and manage an effective Records and Information Management program?  The answer quite simply is psychology. Psychology? Are you nuts? Well maybe a little bit, but it is still the right answer.  The Corporate Records Manger, the Departmental Records Coordinators, and the rest of us in the industry know the rightful place of Records and Information Management.  How do we change the thinking of the rest of the company to see it?

There are many components of RIM psychology from the boardroom to the workstation – too many to cover in one writing.  But let’s start at the top. RECORDS ARE A CORPORATE ASSET.

When the leadership team gets it, I mean really gets it – it is a Game Changer.   You see they understand that assets represent value, and that assets require protection and maintenance.  Buildings are insured, secured, and maintained.  Companies cut the grass, wash the windows, paint the walls, change light bulbs, maintain, repair, and replace heating, cooling, lighting, electrical and plumbing systems.  It’s just a building! But they value the asset.  Records are also corporate assets.

So that is the foundation – RECORDS ARE A CORPORATE ASSET!  In this series I’ll provide guidance for leadership and for those in the trenches – even if your leadership team doesn’t really believe or act like Records are an asset.   You are not helpless – there are tools at your disposal to make the program work even if you aren’t well supported.  But since the best approach is with the leadership team’s support, I will focus on psychology for the leadership team next time.

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Related Content

• Who Needs Auditing to Do an Audit?
• Bright Ideas, Collaboration Needed for Records and Information Management
• I’ll Drink to That: Records Management in the Vineyards

Internal Audit’s typical investigative audit process is labor intensive and creates a major time requirement for the processing and analysis of the information received from the audit.   Unlike the audits they normally conduct, the RIM audit is not limited to the performance of business processes, but includes the actions of every individual who creates or receives records.  Commonly, the Auditing department simply does not the resources required to comprehensively audit RIM.

There is an effective and efficient way to conduct the RIM audits without interviews and without allowing narrative responses.  Ask questions that determine, for a given requirement, are you in compliance?  “Yes” or “No.”  It is also helpful to allow for an “In Process” answer, and also allow for an estimated date of compliance achievement.  But no narrative.  You are not interested in reasons or excuses (at least not yet) or debating the validity of the audit question.  What is needed is an audit that requires a “Yes”, “In Process”, or “No” response from everyone in the company who creates or receives Records.   It only takes one individual retaining records or information that should have been disposed of, or disposing of records or information that should be retained, to sink the ship.  Full compliance is the requirement.  Surprisingly, it doesn’t have to be expensive to conduct, analyze and report a full RIM audit.  Guided by the existing RIM staff, the audit would be a great project for summer students, temporary help, or an external provider.

So, what is needed for the RIM team to conduct and manage an audit? Here are a few Key Success Factors to consider:

• Horsepower – Visible support and emphasis by Senior and local leadership for both the RIM team resource requirements and the “interviewees” time requirements.  Did I mention including a budget?
• Communication – Clear communication on the purpose of the audit, the timing of the audit, the expectations of the audit, and where to go for help.  The objective for all involved is No Surprises.
• Compliance Questions – Detailed RIM compliance questions traceable to requirements in established policies and procedures.  Not so much “Are you aware of the policy for the disposal of confidential Records” but rather “At the proper time, do you dispose of all confidential Records in the Shred Bins or by shredding yourself?  Each established requirement should be the subject matter for at least one compliance question.
• Questionnaire – The data form (an Excel form facilitates efficient processing) with all of the compliance questions that obtains the “Yes”, “No” or “In Process” information from each RIM compliance question.  Commonly the first questionnaire asks all of the Compliance Questions to establish a baseline and provide prioritized direction on the areas that should be the focus for improvement.
• Processing – The data needs to be collected and analyzed.  Typically the results are processed for three views:  work groups, departments, and the company as a whole.
• Reporting – The summary of the data is presented for each of the three views noted above, identifying patterns showing strengths and weaknesses and recommending prioritized next steps for corrective action and improvement.
• Corrective Action – Specific steps are developed and taken to address areas of weakness as identified through the audit.   If you don’t believe you will be able to take corrective actions – you might want to reconsider collecting the data in the first place.  It is likely not in your best interest to identify weaknesses and ignore them.

Can I share some summarized insights that I will talk more about another time?

• No need to collect compliance evidence – use a “Trust but Verify” approach minimizing resource requirements for both the RIM team and the interviewees.
• Graciously receive requests for exceptions and work with the requester to develop and agree to an appropriate exception determined by their circumstance.  It may sound crazy but it actually works to your advantage to establish and implement an exception process and agree to exceptions for the program.  Look for a future blog about the “Psychology of Records Management”.
• Use of the term “audit” for your audit is not necessary and can be counterproductive.  It may unnecessarily create an atmosphere that is not helpful and it may be a source of irritation and resistance with your Auditing department and others.  Consider alternate terms like check-up, assessment, review or evaluation.  You will have your audit, but very possibly with much less resistance.

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Related Content

• Unified Records Management Is Money Well Spent
• Gap or Chasm: Crossing the Divide Between Commitment to Records and Information Management and Practice
• Five Quick Reasons to Outsource Records Management