GUEST SPOT: Records Management Governance and IT Need to Work Hand in Hand
What's a record? Why should I care? Who will do my work if I spend all this time managing my records?
These questions and a myriad more are heard by records managers whenever and wherever a discussion of proper records management arises. The first question, "What is a record?" is telling in its simplicity. If individuals do not understand the fundamental definition of a record, how can they be expected to manage them effectively? How can individuals make decisions about what constitutes an official record versus an unofficial record; a regulated record versus an unregulated record; or a vital record versus a convenience copy, if they don't understand the basic definitions?
Before a records program can provide answers to the questions around record definition and importance, it is imperative that an organization create a governance structure led by a governance committee—the program sponsors. The typical governance structure for a records management program involves a cross section of senior business unit representatives, generally from the larger or more influential operational units, along with representatives from Legal, Compliance, Privacy, IT and Information Security.
Establishing strong senior management support is always a challenge given the commitment of financial and political capital necessary. However, program governance is a critical element of a viable records management program, for beyond establishing policies and standards to guide such a program, the corporate leaders who serve as sponsors become the voice of the program. By espousing the key principles of the program they set a high profile example to the rest of the workforce through their actions. It is not possible to persuade individuals to implement changes without that leadership.
As records management matures from retaining reams of paper and boxes stacked to the ceiling to electronic records that grow and multiply at exponential rates, the records management program can turn to the Information Technology group for leverage. IT plays a key role in helping to transform governance policies into standard processes that can be implemented and monitored.
Technology tools to manage electronic records flood the marketplace. But with these tools, come new and even greater challenges to the records manager. No longer is it quite as simple as slipping the lid off a box to examine the contents. Today's common electronic media contain millions of separate unrelated documents from as many different creators. One cannot assess the records format, its content or whether it is an official or unofficial record by peering at the disk or tape alone. So technology, while a significant resource for speed and access, can be a burden when attempting to examine even a single document.
As a records management practitioner it has become quite clear that technology is an aid, not a solution to records management issues. Governance is the critical component to the success of a program. By including IT in the governance structure, your program can benefit not just from access to technology tools, but also leverage from the technology infrastructure.
Mitch is a former VP at Fidelity Investments with extensive experience in critical positions involving enterprise-wide program management, process improvement, and business analysis. He has expertise in complex legal, regulatory, and compliance issues, as well as in leading corporate initiatives to solve major technical and business problems that ultimately save millions in operational costs.
