Tying it all together: a CIO perspective; technology is making it imperative that information technology and records and information management come together for the full benefit of the organization. (ManagementWise).

At the Core

This article:

* Explains how technology is changing the CIO's job

* Discusses how RIM and IT staff can work together

* Discusses the benefits of a company-wide retention plan

The rapid evolution and increasing affordability of information technology have changed how both public-and private-sector organizations manage their information assets. As the use of technologies for creating, transmitting, and storing documents electronically--such as optical character recognition, electronic data interchange, e-mail, the Internet, intranets, image storage/retrieval, online databases, and automated rule-based workflow--has become more widespread, the volume of information has increased and become more difficult to manage. This makes it more critical than ever that chief information officers (CIOs), who are responsible for all of their organization's information assets and associated technologies, to bring records and information management (RIM) and information technology (IT) professionals together to ensure the proper management of those assets.

Several recent high-profile cases of illegal records destruction have raised the awareness of executive managers about the need for effective and efficient information management and alerted them to their accountability in this area. Organizational leaders are asking, "Are we okay? What are our organization's policies and procedures?" This has created a tremendous opportunity for CIOs to prove the value that RIM and IT professionals bring to their organizations.

A Changing Focus

In the past, the CIO's primary focus was on information technology and on implementing cost-effective technologies. Perhaps because CIOs often came from technological backgrounds and had no traditional records management experience or interest, little attention was given to the content of electronic records or the record lifecycle. However, with a heightened awareness about the dangers of not having an established records retention program and ensuring compliance with it, CIOs without that records management expertise must delegate these tasks. This need for CIOs to have access to RIM staff has led many organizations to move this function under the supervision of the CIO. This gives RIM professionals the opportunity to play a vital role in helping their organizations develop a comprehensive information management strategy. If done well, these efforts will not only mitigate risks, they will also contribute directly and indirectly to their organizations' bottom line.

RIM and the Bottom Line

Just as CIOs are expected to show a quick return on investment on any deployed technology investment, records managers must show their value by addressing records issues that come with that technology. To do so, they must become educated about computer systems and technology, organization workflow, and procedures. As more and more manual processes are replaced by automated workflow, records management professionals must take an active role in redefining a "record" in all appropriate workflow. They must determine when something becomes a record, which version is the master record, who is the owner, and how the document lifecycle is tracked from creation to destruction.

Recordkeeping in today's environment is complex. Documents are scattered across organizations on personal computers, local area network servers, file rooms, mid-range computers, mainframe computers, CD-ROMs, and filing cabinets. The cost of storing and managing those records is high. To manage all this information, a "master list" of all records (paper and electronic) and their associated systems must be created, maintained, and controlled. The inventory must include locations, retention, and specific metadata needed to support each individual record series. With the large variety of document types and their global, multiple-access requirements, defining the correct records lifecycle can be challenging. By combining efforts, however, RIM and IT professionals, under the direction of the CIO, can create a well-defined, enterprise-wide records management strategy that will pay off from not only from the economic perspective, but also from the customer service and legal perspectives.

Economic Benefits

In the past, a records management system was often viewed as a necessary expense rather than as a contributor to an organization's bottom line. However, this has changed as the result of dynamic and rapid growth from paper-based to electronic recordkeeping systems. This is because an electronic system that includes a well-defined index, complete inventory profile, and current retention schedule saves physical filing space and facilitates easy retrieval, reducing search time and related expenses. Also, applying the traditional records management lifecycle to electronic records leads to more timely removal of records, saving storage space on servers, and reducing potential discovery or litigation costs. In addition, the standardization of these processes controls duplication of records, eliminates lost or misfiled records (especially when originals are never checked out), and reduces staff training costs.

Other benefits of a good records management system may be more difficult to identify as direct cost savings. However, it has been noted that employee performance and morale increase with quick access to reliable information as well as with improved communication across the enterprise. This all contributes to a better "big-picture" perspective of all information assets and well-informed decision-making, which ultimately contribute to cost reductions.

Customer Service Benefits

Documents, whether paper or electronic, are the primary interface to most external entities such as suppliers, customers, and business partners. They enable good customer service, and their importance in relation to retention and easy retrieval is mandatory--driven by society's high expectation for good customer service. When customers call on the phone or inquire via the Internet, they want quick, accurate answers to their questions and do not want to be placed on hold or told that someone will call them back after their file is located. Such expectations have become more prevalent with the expansion of the Internet.

Because consumers now want instant, 24-hours-a-day, seven-days-a-week access to information, a different record-tracking model is required. There is an increased importance in ensuring that a records management strategy is defined up front so that everyone understands the content being recorded and when a record truly becomes a record. Security and control issues throughout a record's lifecycle also must be addressed.

While it is a key responsibility of the CIO to ensure that technology and the associated recordkeeping systems to support it are in place, it is within the purview of the RIM staff to define the records management strategy needed to enhance customer service.

Risk Litigation Benefits

One only has to read a current newspaper to see how the lack of compliance with good records retention policies have been the undoing of several major corporations. Organizations can get into legal trouble if they do not establish a good records policy and procedures that ensure compliance with it.

CIOs are responsible for managing long-term digital storage and ensuring that records are safe and accessible even though technology and media may change over time. Litigation costs can be staggering if an organization stores records and data longer than needed. All records--whether on paper, mainframes, servers, disks, or back-up tapes--may be discoverable, and it is an organization's burden to produce requested records no matter how difficult or expensive. A good records retention program that ensures that records have been classified, validated, secured, monitored, and managed minimizes the number of records kept and any corresponding discovery costs. A documented records retention program also provides consistency across an organization, making it less complex for employees to understand and follow and easier to explain in a court of law.

Technology will continue to change organizations, and the use of multiple technologies will continue to elevate the importance of a well-documented records management program for both paper and electronic records. RIM professionals have a great opportunity to contribute methodology and procedures not just to paper-based systems but also to all information systems and, with the CIO's support and guidance, will contribute to an organization's bottom line in a positive way.

Working Toward a Successful Records Policy

Being successful at proving the value of RIM to an organization's bottom line takes time and effort. Following are some "lessons learned" that may help.

* Executive management must require the CIO to define an overall information and records policy. It begins with paper files and continues through electronic ones. IT and RIM must work together to define this policy. Without executive management and CIO support, it will fail. For many companies, electronic records means backing up everything in case of a disaster; but keeping everything can be a costly mistake. With responsibilities for recordkeeping diffused among different departments, most organizations need someone to be "in charge" of managing their information assets. The CIO is the logical leader but needs help from records management, IT, legal, and each business unit. Files must be managed by content, and digital files need long-term access and version control to prove their authenticity and credibility as evidence. If an organization manages its electronic records properly, it will save money.

* Records management is a joint venture between the CIO and the records manager. CIOs cannot do this alone. They must have the records management staff at their disposal in order to ensure that the same records management concepts being applied to paper records also are being applied to electronic ones. There must be collaboration between all appropriate business units. All must understand records creation, maintenance, and disposition, and a records retention policy and retention schedule must be defined. This information then can be given to the IT staff responsible for purging electronic files. Records management and IT must partner for this common goal. As more IT personnel and CIOs begin to see the value of records management expertise, more RIM staff will be asked to assist.

* Documents are more than paper records; they are a collection of data, text, graphics, images, video, etc. Document management must integrate with the organization's enterprise information strategy. This is why the CIO must be involved. Managing content rather than form changes the approach, and the records manager plays an important support role in this area.

* Electronic records change the focus from a physical record to a system process. Organizations must re-think differences between paper and electronic records and focus on "work-in-progress" activities that trace electronic records from creation to disposition. Version control becomes a new issue in automated workflow. Questions like "When does a record become a record?" are important. Electronic records depend on specific hardware and software, but documenting the process is just as important as the technology used. As businesses start expanding to electronic imaging or non-paper-based record systems and across more than one business application, they must have an enterprise strategy to support and consolidate all document management applications into one integrated approach. This is where records management strategies for making retention decisions (what needs to be kept, in what form, and for how long) and maintaining a master inventory of all information assets play a key role.

* Rules of evidence apply to all records whether paper or electronic. It soon will be possible to automate the retention and deletion process of an electronic record system. It will take away the human process of manually purging or deleting files. Since all documents in an organization are potentially discoverable in litigation, a clearly defined strategy and a good policy are needed to determine compliance guidelines and standard naming conventions.

* All records (paper and electronic) must have certain issues addressed, including record inventories, records retention schedules, classification, and disposition. CIOs are the logical people to coordinate electronic records management efforts. Because recordkeeping is diffused across many departments, it makes sense to centralize it under the CIO but requires a team approach that includes records management, legal, IT, and the appropriate business departments. It is essential that electronic documents remain separate from applications and databases so system upgrades do not affect document retention.

* Keep e-mail retention to a minimum or risk the liability of having it included in discovery requests. Organizations that do not have an e-mail retention policy must create one and enforce it. It is very costly to retrieve old e-mails that are not deemed official records. E-mail taken out of context can create many legal issues for any organization.

* Records security can become a problem, especially with the ease of accidentally or deliberately deleting important electronic records. A well-defined information records policy and procedure can help identify any illegal acts. It is difficult to track electronic records manually, so the use of good database software to track records is recommended. Many vendors have good templates available, or organizations can create one themselves. It is important to document and maintain all legal requirements.

* Digital records do not survive by accident. Organizations have to make it happen. It takes effort and a good records management program to ensure electronic records can be retrieved as needed. With the rapid changes in technology media, a records program also must address migration, which is not much of an issue with paper-based systems.

Thomas E. Smith, CRM, CCP, is vice president and CIO at Midwest Security Insurance Companies in Onalaska, Wisconsin. Smith has been in the information systems profession for 25 years and served as a records administrator for nine years. He may be reached at [e-mail].