Cornerstone Communications
Record Management Mistakes to Avoid
Getting records management right is difficult. Sidestep these Top 10 mistakes to look good as you roll out your RM program.

Mark Barsoum
AIIM E-DOC MAGAZINE May/June 2006


In the post-Enron/Andersen/Sarbanes-Oxley environment, managers who are responsible for information management and records handling must continue to improve their capabilities to proactively administer and control vital corporate records. Companies operating under increased regulatory scrutiny are identifying the need to implement or improve records management strategies along with supporting records management (RM) systems to serve functional areas producing and managing company records.

Comprehensive, viable records management has taken on increased importance around the world. Companies and government agencies recognize that a well-constructed RM system provides many benefits, including:
  • Enabling users to monitor, track, retrieve, maintain, retain, and dispose of records according to retention schedules, rules, and trigger events
  • Streamlining and standardizing records management across company departments and locations
  • The primary means for maintaining retention schedules, records class codes, and retention rules
  • Automating and simplifying routine tasks Reducing the cost of operations by streamlining rapid records retrieval—whereby information can be produced quickly and on demand when required, reducing labor and administrative costs
  • Protecting against potential litigation in that contents that should be discarded will be—and according to consistently applied standards and regulations
In developing and implementing RM systems for many companies over the past several years, our first step is to assess the company’s current situation and needs. It is very common for us to see incorrect assumptions or inadequate planning and implementation due to several initial misconceptions. In some situations, these mistakes have precluded companies from accomplishing their records management goals. We have encountered companies that found that systems they had implemented could not be maintained into the future. In other situations, new systems created havoc due to their design or manner in which implementation was attempted.

In this article we will examine ten of the most common errors we have seen as companies attempt to design and implement RM systems. In addition, we will provide suggestions for preventing and/or correcting these errors.

Mistake #1
Trying to implement portions of an RM solution … before crafting a well-defined program.

Managers often attempt to implement particular aspects of records management without a welldefined program and then find that they have to regroup and revise some of the work they thought they had accomplished.

For example, a user might begin to scan and code documents, and then discover that the technology employed is inappropriate for the overall program. Or, users may find that many of the documents they coded and cataloged are not records that should be retained.

Suggestion: Rollout the program only after the total design and parameters of the program have been defined, established, and tested.

Mistake #2
Focusing on a single business driver … instead of an overall solution.

For example, an organization or department might focus on compliance and attempt to base its global program on this issue. It may discover later that there are a variety of other issues—legal, technological, financial, personnel, etc.—that could complicate or even simplify that issue when taken together, yet were ignored in the initial design.

Suggestion: Build a solid business case for a records management program. During the design process, research, assess, and account for all important business drivers and benefits. This helps not only in your program design, but often helps obtain solid support from management.

Mistake #3
Believing that an off-the-shelf package, alone, can be a universal RM solution that meets all needs.

Although we might like to hope that purchasing off-the-shelf software and simply installing it is the answer, the software is only the tool—it’s the processes, definitions, and implementation that drive the system. Just as important, even the best software is often not the best solution. A successful records management program hinges on factors such as:
  • A comprehensive needs assessment
  • Defining records, procedures, and functions
  • Expert project planning
  • Experienced software/hardware evaluation and customization
  • Effective training
  • Technical & team support
Suggestion: Create an action plan and desired-features checklist and then compare it to the features and advantages the software, vendors, and expert consultants provide.

Mistake #4
Not understanding or distinguishing the differences between document management and records management.

Some organizations err in considering documents and records to be synonymous. They are not, and doing so can create problems.

Suggestion: “Records” are not just any document that an organization produces. From ISO 15489-1, a record is “information created, received, and maintained as evidence and information by an organization or person in pursuance of legal obligations or in the transaction of business.” Whereas document management may involve the creation, editing, saving, reviewing, copying, deleting, and tracking of documents; records management must ensure record authenticity, reliability, integrity, and usability. Records cannot be altered and their availability, retention, and deletion must be carefully tracked and controlled.

Not only can organizations cause serious problems if they inappropriately delete or alter records, they need to be diligent regarding which records they retain and how long they retain them. At one extreme, doing nothing and hoping that the problem goes away can be as risky as the other extreme, archiving everything.

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Mistake #5
Attempting to implement and deploy a total RM program all at once … as opposed to a phased in approach, often by department.

Attempting to deploy a records management program across all departments or locations can be very difficult and fraught with problems. Most organizations find that they gain additional experience and knowledge as they fine-tune their program during implementation. Attempting to implement all aspects at once precludes the sharing of these insights across the program.

Two important aspects that contribute to the success of an RM program are testing or piloting the project, and staff training. It is often difficult and unwieldy to train and pilot a program across several departments—each department’s needs, learning style, and personnel will differ. Plus, lessons learned in deployment in one department often pay dividends later during deployment in other departments.

So, does a phased-in approach leave you at any greater exposure to legal risk? Companies and organizations are much better off with a phased in approach. Before phasing in the program, most likely there was not a good system or any system in place at all. What is accomplished in any one of the phases is usually a vast improvement over no-system or a bad system. And attempting to go all out as opposed to phasing-in could doom the entire project to failure, which is what we see many times happening when a total program deployment is attempted.

Suggestion: In the planning stages, create a well-designed pilot to be followed by a well-constructed deployment schedule by department or work area. In addition, consider phasing in the implementation by records type, media, or by tasks.

Mistake #6
Failing to plan for the full lifecycle of the system as well as the records.

Considering only the initial design and deployment; and thereby focusing only on the rollout; can create very costly problems in subsequent stages of the system’s lifecycle. For example, failure to address all lifecycle stages may result in upgrades being diffi- cult or even impossible. Migration paths may be severely limited or even non-existent. Neglecting to perform periodic, regular reviews of the RM system can adversely affect the system’s operation and compliance.

Suggestion: Plan ahead. Identify the system’s lifecycle elements and timeframes as well as the lifecycles of the software and records. Build the necessary factors into the system’s design that will maximize usefulness and minimize costs—throughout the system’s expected life. Plan and execute periodic reviews of the procedures, technological and compliance issues, and policies and effect changes as necessary.

Mistake #7
Waiting for legal action against your company before considering, justifying, or implementing an effective records management program.

Designing, creating, and implementing an RM program can’t happen overnight. Companies now recognize that they must be proactive, not just to comply with legal requirements, but to be responsive and responsible to their shareholders and owners, customers, and staff. In addition, a proactive program helps to increase efficiency and productivity, affecting financial as well as legal issues.

Suggestion:Ensure that your organization is either constructing or implementing an effective records management program today. If significant RM experience and expertise are not resident or available in-house, consider seeking a company that has knowledgeable staff experts to assess your needs, examine your current situation, and recommend ways to plan or strengthen your program.

Mistake #8
Failing to plan for adequate initial and long-term support for the RM program and technology.

Effective (and compliant) records management requires regular attention. Initially, RM managers, staff, and users should receive comprehensive training. But records management is an on-going process—it requires monitoring, updating, re-evaluation, and planning over the long term as needs change; compliance and legal issues evolve; and as software, hardware, records storage, media, and other technologies advance. Continual support is critically necessary for records management to work effectively and efficiently.

Suggestion: Plan and provide for effective training and staffing dedicated to the process. As an example, one of our clients with over 1,000 users employs two dedicated FTE in-house personnel to manage and support its program in conjunction with our consultation on an as-needed or as-planned basis. In the planning stages, create a well-designed pilot to be followed by a well-constructed deployment schedule by department or work area. In addition, consider phasing in the implementation by records type, media, or by tasks.

Mistake #9
Attempting to use personnel who don’t have records management training or experience to lead the effort.

Effectively managing and supporting an RM program requires wide-ranging knowledge, experience, aptitude, and understanding. All too often, organizations fail to place properly-quali- fied, trained, and experienced personnel into the role of records managers. Experienced records managers know the policy, legal, technology, and system issues. Without proper training and experience, the job is daunting and prone to problems.

Suggestion: Find and hire personnel who have the background and credentials in records management or, if promoting from within your organization, provide the necessary (and comprehensive) training. Using a team approach, be certain to include all relevant individuals—executives, legal staff, IT, warehousing, etc.—in the planning and implementation phases.

Mistake #10
Assuming that a single step or tactic can drive the strategic direction for creating an effective RM program.

A single step—such as buying software or hiring a records manager or handing over responsibility to QC or IT departments— cannot ensure success. Effective records management programs are not created piecemeal. For example, a company may discover downstream that the RM software they purchased doesn’t integrate with their EDMS.

Suggestion: Take a top-down approach to records management. Develop strategies, policies, and requirements first, then develop the program.

Mark Barsoum (mbarsoum@ruscoservices.com) serves as a director of Rusco, Inc. He has experience sin ce 1983 in the design, development, and deployment of R&D, manufacturing, and records management systems within pharmaceutical and other industries. In addition, he has designed and managed the successful validation and deployment of several integrated cross-functional systems for companies such as Centocor, McNeil Consumer and Specialty Pharmaceuticals, Rohm and Haas, DuPont Pharmaceuticals, and AstraZeneca.

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