The Odd Files

Why Effective Records Management Matters in a Democracy

2012-02-10T15:25:00.001-08:00

Typically, the justification for a records management (RM) program is tied to cost cutting, efficiency, and managing risk. While certainly important pieces of records management, for government records managers there is an additional and significant reason for a RM program.

Government archivists and records managers typically are guided by mission statements that focus on preserving and documenting government institutions. One of three elements of the Utah State Archives and Records Service mission is to preserve records of enduring value. The National Archives and Records Administration’s (NARA) mission statement states that one of its goals is “safeguarding and preserving the records of our Government” so that citizens have access to the records that document their rights. These missions are partly outward facing and concerned with providing sufficient evidence of government actions so that citizens can access and understand the decisions of government officials. Records document actions taken by the government. Keeping records in democratic governments matters because the government must be accountable to its citizens. Records are neutral; they can be used in a variety of ways – Some positive, and some negative. For example, the records collected in Paraguay’s Archives of Terror demonstrate that the same set of records might be used to oppress or, ultimately, to seek justice and reconciliation.

According to NARA 1-3 percent of the records created by federal agencies have long-term legal or historical value. The Utah State Archives estimates that approximately 5 percent of the records created by state, county, and municipal agencies are retained permanently as part of the state’s historical record. It is the responsibility of government records managers to create and follow retention schedules that will determine how long records are kept. As retention schedules are applied records managers sift through and reduce a government’s records, leaving behind the materials that will become the entity’s documentary heritage. Records managers are actively involved in ensuring that records that need to be kept are kept, while those that need to be destroyed are destroyed. By reducing the records static – those records that have temporary value – records managers help clarify and focus the historic record that remains. This is not a task to be taken lightly, and it is one that cannot be avoided as each decision to keep or destroy a record represents a privileging of the stories that can be told from that record.

Verne Harris argues that all records are essentially tied up in storytelling. He writes, “Telling stories of our past is a quintessentially human activity. Story is crucial to our construction of meaning and is carried by our dream of the impossible. Without story we are without soul.”[1] As records managers we are a part of the records making process. We have a role to play in shaping the story that will be told about the institutions we serve and, in the end, about ourselves.

[1] Verne Harris, “Postmodernism and Archival Appraisal: Seven Theses,” in Archives and Justice: A South African Perspective (Chicago: Society of American Archivists, 2007), 102.

Why Records Management?

2012-01-20T09:24:00.000-08:00

By Priscilla Emery

Ed.'s Note: This article is excerpted from the Records Management Report, published by CMS Watch.

To some, managing records represents one of the most boring and onerous business functions that anyone could possibly undertake within an organization. Of course, most people don’t even understand what records management is -- making it easy to malign an activity that is so misunderstood.
Indeed records management crosses numerous disciplines. Did you know…

That categorization and indexing are two elements that are critical to the success of a records management program? Sounds a little like knowledge management.
That vital records preservation is one of the key steps in developing a disaster recovery plan? Sounds like infrastructure management.
That by ignoring records management policies employees and their companies can potentially end up facing criminal penalties? Sounds like a legal profession.
What led to Arthur Andersen’s downfall? Shredding — inappropriate shredding — shredding of records that should have been retained according to the policies of both Andersen and Enron.

Despite what people may say, what you don’t know can hurt you and, in the case of records management, what you choose to ignore can cripple you and your organization.

Recent dramatic headlines have made it quite apparent that records management (or the lack thereof) is an essential activity to ascertain and confirm the credibility of many business transactions and government activities. The proliferation of electronic documents (especially e-mails) and the potential litigation exposure that they cause are becoming the bane of legal advisors and records managers in many corporations and government agencies. Microsoft, Texaco and other Fortune 500 companies have taken hits from “runaway” e-mails introduced as evidence in high stakes cases.

But, to records managers e-mail is just another record type in the scheme of things (not a trivial record type but a record type just the same). They know that in fact, “smoking guns” can come in many different guises, including: paper, electronic image files, video tape, voice recordings, etc. It’s all potential evidence and therefore potential deposition fodder. Making sure that all the relevant information is accessible in a timely fashion, should an organization need to defend itself in a lawsuit, is also what records managers are responsible for.

These days a records manager’s job is anything but boring, and in many organizations there aren’t enough of them to handle the increased compliance laws and regulations that have cropped up in recent months.

Not surprisingly, then, many companies are looking at records management software as a way to get a better grip on the increased volume of all kinds of records. Although that approach can help, a basic understanding of what records management is and its concomitant practices are required before even looking at any software product. If you don’t have a records management policy in place along with the appropriate retention and destruction rules for the records, the software will be useless.

What is Records Management?

There are many different definitions of records management but one that I like the best is,

“A professional discipline that is primarily concerned with the management of document-based information systems. The application of systematic and scientific controls to recorded information required in the operation of an organization’s business. The systematic control of all organizational records during the various stages of their life cycle: from their creation or receipt, through their processing, distribution, maintenance and use, to their ultimate disposition. The purpose of records management is to promote economies and efficiencies in recordkeeping, to assure that useless records are systematically destroyed while valuable information is protected and maintained in a manner that facilitates its access and use.”

Some people have the mistaken impression that records management is about hoarding everything that comes across one’s desk in the course of doing business. In some highly regulated industries it may seem that is the case. But in most cases it’s not only making sure that what needs to be kept as a record is retained but also prescribing how long it should be kept, where it should be stored, who has access to it and when it should be destroyed (if ever).

There is even an ISO standard for developing a records management program (ISO 15489). However, even though records retention practices are considered systematic and scientific, deciding what is a record and how long it should be retained is a combination of both prescribed practice and a certain amount of subjectivity depending on the actual documents in question. Just defining what is a record can get somewhat confusing to people.

What is a Record?

According to the Federal Records Act a record is, “recorded information, regardless of medium or characteristics, made or received by an organization that is evidence of its operations and has value requiring its retention for a specific period of time.”

According to the National Archives and Records Administration (NARA) records include,

“… all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the U. S. Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the data in them.”

Got it?

This can be confusing for non-governmental organizations that don’t believe that these definitions necessarily apply to them so a more generic definition would be that records are recorded information, regardless of physical form, that are generated or received and used while conducting business, and preserved because of their informational value or as evidence of an organization’s functions, policies, decisions, procedures, operations, mission, programs, projects, and activities.

This is why there is no real cookie-cutter approach to defining a records retention program for every document out there — every company has to look at its own business operations and examine what should be considered a record and then decide what retention rules to apply against them. Again, the government and other industry regulators may help in that decision by defining exactly what they expect to see if they have to do an audit or investigation, but audits and investigations aren’t the only reasons to have a records management program.

There are other ways to determine if an information item should be considered a record or not:

Does the information document your daily business process?
Does the information provide input to a mission-critical business decision?
Does the information provide evidence as to whcy a business decision was made?
Is the information required for legal, fiscal, audit, or tax purposes?

"Vital Records" contain unique or irreplaceable information and require special protection, such as articles of incorporation, annual reports and shareholder records. These should be defined as an integral part of a disaster recovery plan or operation.

RM Programs, RM Software

Essential elements of a records management program include a records retention policy and a set of procedures where records are classified, retention periods are defined and destruction procedures are prescribed. Classification of records and then maintaining them with the appropriate metadata are necessary so that this information can be retrieved quickly when required.
Record integrity depends on three attributes: content, context, and the structure of the original record. Authenticity is very important to determining if a piece of information is the “true” record of an event or business transaction, which is why the management of electronic records, most especially e-mails, web pages and instant messages, is so problematic. The ability to generate larger volumes of records in a shorter period of time has increased the productivity of many organizations but that productivity gain can be lost if essential records can’t be found during the course of doing business or, in even more critical procedures such as when an audit takes place or a legal discovery of evidence is required. Finding lost records costs money in terms of lost productivity and in more the substantial costs of fines, court costs and lawsuit settlement costs.

Hence the need for records management software that aid in the record repository management activities of many organizations. These products help users:

manage retention schedules,
store records in their appropriate classifications along with the prescribed metadata,
search for records when required,
destroy records according to prescribed schedules,
put holds on records so they don’t get destroyed while the company goes through an audit or investigation, and
track the access of the record over its active and in-active life cycle.

In many cases these systems track not only electronic documents but also other record objects such as paper, boxes and tapes...

Amid all the focus on key records management features such as record declaration andstandards certification, one key factor sometimes gets lost in the shuffle. Recordsmanagement is a core activity within many different business processes within theorganization itself. It is in and of itself not meant to be the core application. Just like filing isan adjunct activity to one's work, records management must fit into the core business processin order to be truly effective.
Therefore, technological elegance shouldn't be the focus -- integration with core businessprocesses is more important. Ability to support and integrate with key business applicationsand be imbedded as an activity within a workflow should become more important evaluationcriteria in the long run.

Brighten Your Holiday Season

2011-11-20T19:36:00.001-08:00

This is our first draft of our Christmas add, Going up at the Movie Mill shortly, we were trying to do something around the new 100 bill and with christmas around the corner, this is what our marketing group came up with,

Self-Storage Not Working

2011-10-24T21:22:00.000-07:00

Transferring archives to self-storage may alleviate a shortage of office space but it brings its own difficulties and inefficiencies.

There are a number of factors acting against self-storage being a workable long-term solution for the storage and management of archives:

§ Archiving and file retrieval are generally the most disliked office functions

§ Files expand to fill the available space

§ The natural way of things with archives is chaos

It is difficult enough for staff to deal with these factors and manage files in your office – even more so in a remote facility

Law firm loses hard drive with patient records

2011-10-12T17:36:00.001-07:00

http://www.baltimoresun.com/news/maryland/bs-md-stent-hard-drive-20111010,0,599052.story

Awkwardness Over The Turkey

2011-10-06T12:21:00.000-07:00

You know things are going downhill when a relative at the Thanksgiving table says to another, “What do you mean by that?” At that point the awkwardness kicks in. Then so much for the thankful part. Family functions are often times when all those unresolved issues from all the years past sit down with us at the table. We try to pretend everything is all right. But despite believing it is hidden from immediate view the tension is very evident to everyone present.
And then the rest of the day is spent watching each other to build up ammunition for what will be talked about at Christmas. Who got up from the table first? Who fell asleep after dinner? Who had a second plate of turkey?
I wish we didn’t put so much pressure on ourselves this holiday. Bottom line, I just want to be grateful; grateful for the fact that I have a family… that I have a great country to live in… that I am alive and kicking today. And I find that in my moments of gratitude, when I am truly thankful, I tend to forget the past wrongs done to me.
Today I want to wish you and your family a Happy Thanksgiving. I wish for you a strong sense of gratitude that will outweigh the frustrations.
And I want to again remind you that we here at File Solutions would love for you to be part of our family of clients… clients who count on us to store and manage their information assets everyday.
Records and information management is critical to business continuity, legal compliance, customer satisfaction and profitability. Let me help you discover the perfect solution for your business!

Records storage essential says Metrofile

2011-09-26T14:52:00.000-07:00

Records storage essential says Metrofile
Records storage essential says Metrofile

THABISO MOCHIKO

Published:2011/09/26 07:43:12 AM

LISTED document storage company Metrofile warned on Friday that directors of local businesses needed to ensure they fully complied with the latest record-keeping regulations in terms of the new Companies Act.

This was necessary in order to avoid potential legal action and, in some cases, imprisonment and business closure, the company said.

Metrofile’s business is focused on the management of information and records storage.

Richard Buttle, the chief financial officer of Metrofile Holdings , said the new Companies Act clearly stipulated that local businesses needed to securely store and manage select, key company records for up to seven years, highlighting the importance of good records management practices.

In terms of the act, companies are required to keep documents such as reports presented at annual general meetings, annual financial statements, accounting records, notices, minutes and resolutions of all shareholder meetings. They also have to keep any documents made available by the company to the holders of the securities in relation to such resolutions.

Also, the act required that records be kept in written form or a format in which they could be easily retrieved and converted into written form within a reasonable time, he said.

"Businesses need to realise that company information and records are assets and should begin to treat these documents as such," said Mr Buttle.

Natasha Bouwman, legal specialist at the Institute of Directors in Southern Africa, said it was "vitally important" for all directors to ensure they complied with the act by conducting a detailed compliance review, as well as seeking expert advice from internal or external legal advisers.

"Compliance software programs can also be utilised to measure compliance with the new Companies Act, but care should be taken that these programs sufficiently cover the entire act’s provisions," she said

Mr Buttle said the act required certain company records to be accessible to shareholders or members, and must be open to inspection at all times.

"Due to the complexity of retention periods paired with the need for instant accessibility, storage space and data back-up requirements, an effective record management system must be implemented to ensure that compliance with the new act’s regulations are met," he said.

This month, Metrofile reported a 38,2% increase in headline earnings per share to 18,1c for the year to June. Revenue was up 12,4% to R460,5m. The company said there was still a demand for paper storage despite the growth of electronic record keeping. Paper storage grew 10%-12%.

Metrofile is expanding its business operations into Nigeria and Ghana, with some key countries in East Africa such as Kenya likely to be next

Medical Records found on Calgary Steet

2011-09-23T17:04:00.000-07:00

http://www.calgaryherald.com/news/Investigation+launched+after+medical+records+found+Calgary+street/5450538/story.html

Tape Vrs Cloud

2011-09-13T10:47:00.000-07:00

Below is a link that has an article that is very persuasive for organizations to use tape as a backup medium rather than sending everything into the “cloud”. Hope it helps.

http://www.itjungle.com/tfh/tfh091211-story08.html

Dog Days Of Summer

2011-09-03T09:11:00.000-07:00

Have you heard that line… it’s so hot you could fry an egg on the hood of your car. My friend told me about someone who did just that. This heat seemed like the perfect opportunity to test that theory. So he tried it. Dumb move the guy admitted. It didn’t really work.

The yoke got into the windshield washer nozzle, and the clear gooey whites ran down and dripped on the fender and now his car smells a bit like it drove through the breakfast kitchen at Denny’s Lesson learned. Car hoods are not effective cooking devices no matter how hot it feels.

Maybe the heat made him do it. Heat does seem to make people do strange things.

In the heat of these days I just wanted to remind you that File Solutions is continuing to manage the documents and files of companies just like yours throughout our region. If you are feeling the heat of dealing with your inactive and archival file situation, then let us cool things off for you by providing the relief of our comprehensive storage management solutions.

Records and information management is critical to business continuity, legal compliance, customer satisfaction and profitability. Let me help you discover the perfect solution for your business!

Enjoy the rest of your summer!

“Cooler Summer ” offer. Every new client who books a Free Needs Assesment, gets to attend a really “cool” party at a local restaurant with you and the team..

Email mailto:Info@filesolutions.ca

or visit our webstes at

http://www.filesolutions.ca

prospacesolutions.com

For more information

Paper is not going anywhere

2011-07-12T18:12:00.000-07:00

Author: Alex Brasil, Consultant – ICT Practice

Technology futurists began predicting the death of paper-based documents as early as the

1980’s, which led to numerous articles about a utopian paper-free work place. Almost

thirty years later, these predictions have been proven wrong as the adoption of new

technologies has ironically contributed to a massive increase in the use of paper

While not explicitly referring to physical documents, one study estimated that 161 exabytes

of data were created in 2006 and that, by 2010, that number would increase exponentially

to a staggering 988 exabytes a year

With this level of new content growth, there is no

doubt that the use of paper-based documents will also rise.

Take for example the process of buying a property. This paper intensive process requires

over 20 unique documents to be filled out, initialed, signed and processed, which then

generates numerous additional paper-based documents. Each of the documents that pass

through the hands of the mortgage broker and real estate agent must be processed and

shared with multiple parties, such as an attorney, insurance company, county clerk, bank,

Title Company, and more. In addition, many of the documents generated must be archived

for months, years or decades depending on corporate governance policies and government

regulations.

When considering the sheer number of paper-based documents involved in a business

transaction such as buying real estate, it’s clear that eliminating paper documents is

impractical and, due to the fact that paper documents are the preferred standard, trying to

remove them from the process could lead to unacceptable business delays. Instead of trying

to eliminate paper, careful attention should be paid to the business processes that create

paper-based documents in order to discern how to best integrate the management of paper

documents, electronic conversion and storage to help alleviate the pain points of paper

whilst maintaining its advantages.

Advice My Parents gave me

2011-07-08T12:35:00.000-07:00

ADVICE FROM MY MOTHER

Words that soak into your ears are whispered not yelled

Don’t Judge folks by their Relatives

You can not unsay a cruel word

If your thinking your so important, try ordering somebody else’s dog around

The best sermons are lived, not preached

It doesn’t take a very big person to carry a grudge

Live simply Love generously Care deeply Speak kindly

Meanness don’t jes happen overnight

ADVICE FROM MY FATHER

Keep your fences horse high, pig tight & bull strong

Keep Skunks, bankers & lawyers at a distance

A bee is considerably faster than a John Deer tractor

Dont do something stupid!! or if it had to do with Machinery, or Motorcyles, Dont do something stupid and get hurt !!

Timing has a lot to do with the outcome of rain dance

Don’t corner something that would normally run away from you

Forgive your enemies, it messes with their heads

Sometimes you get & sometimes you get got