In This Issue. Mary Colak, cmc. Bridging the Gap from Theory to Outcomes Volume 1, Issue 5, September-October 2007

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1 Bridging the Gap from Theory to Outcomes Volume 1, Issue 5, September-October 2007 In This Issue Winning at the Marketing Game... 2 Records Policy for the of Electronic Records... 4 The Trouble with Enterprise Software... 5 Information Failures and Organizational Disasters... 5 Don t Fear the Wiki... 6 ECM or EDM or EDRMS or?... 7 Records and Information Resources... 9 Upcoming Training Opportunities... 9 Implementing a records and information management program is not (and should not be) a reactive process. It is not something that should be done without appropriate planning. Sadly, many clients tell me that their records and information management programs are really bad and unmanageable. Many believe they know why their programs are inefficient. Their explanations range from uncooperative staff to management s lack of support for the program to no policies or procedures (or if they are in place, nobody seems to know about them) to our just can t be managed (and staff will tell you so!). As our conversation flows, it becomes clear that there is no single records management element that can be attributed to the problem. Instead, the problem can be traced to the lack of program planning before implementation commenced. Planning a records and information management program is like planning any other program. You start by conducting a thorough diagnosis of your organization s needs and then work through a careful planning exercise to determine which priority records management element(s) will give you the best return on your efforts. Would you implement your strategic plan objectives without first studying how to implement the strategy for maximum organizational benefit? Probably not. So, why wouldn t you step back and look at your organization s overall records management program objectives before launching into implementing piece meal solutions? While the planning task may seem onerous (and sometimes it is!), the benefits are immediate and long lasting. Simply, plan your records management program like you would your vacation. Where do you want to go? Why? With whom? What is the most efficient method of travel? When will you go? With the correct information in hand, it will be easy to select the correct approach for implementation. Mary Colak, cmc RIM Matters Newsletter Issue 5 Sept.-Oct Page 1

2 Winning at the Marketing Game A Vice President of a local organization once told me that while he supports records management and the concept of a records management program, it is difficult to sell, let alone implement, such a program because most people in the organization do not find records management sexy. And, you know what? He s absolutely right! But why don t staff find records management sexy? After all, organizations can t function without the information that is stored in its records. After some sleuthing, it turns out that records managers do not do enough to sell records programs inside their organization. There may be several reasons for this, but the main reason is that records managers are typically overwhelmed with just keeping the day-to-day operations going. So, how does one promote the records management program amidst the daily chaos? You may be surprised to learn that there are a few things that can be done. But, they all require some planning (and hard work!). Let s start at the beginning by building a positive foundation. Build a Positive Foundation Think about how advertisers talk to their audience. Consider, for example, weight loss programs. What do these TV commercials say to us? Do they say that you ll have to eat food you don t typically eat? Do they say that you will need to follow a strict exercise program that involves lots of hard cardio and sweat? Do they say that you will experience many uncomfortable hunger pangs? Do they say that you ll have to change your relationship with food forever in order to lose weight? No. None of the negatives of getting from fat to thin are revealed in the commercial. Instead, the commercial projects an image of a slimmer, younger, sexier, more radiant YOU, looking better than you ve ever looked in your entire life (imagine that!). It seems so simple: the young woman in her skinny black dress, high heels and oh-so-youthful glow (she went from a size 16 to a size 6 in less than three months, did you know?). Just makes you want to put away that extra-large size bag of Taco chips right now and get off the couch and sign up for the program, doesn t it? The difference between TV commercials and our approach to selling records and information management ( RIM ) programs is in the spin. Commercials emphasize the positive aspects of the product they are selling (the slimmer, younger, sexier, more radiant you). They do not talk about the negatives (hard work, hunger, eating foods you don t particularly like, lifetime/long-term changes). And what do records managers focus on when they want funding for their RIM program? The need for records storage clean-up, records classification design, writing a policy document, writing a procedures manual, and so on. Hmmm...doesn t sound very exciting! In order to build a positive foundation for your RIM program, you need to set clear expectations about what the program will do for the people in the organization. For example: the program will save money, save time, enable more efficient information retrieval, improve productivity, etc. (in each instance, demonstrate how this will occur without digging too deep into what tasks are required to get there!). Ensure that you have clear documentation including justification to support your funding requests. Keep the documentation close by and on hand if anyone should ask how you determined your requirements. Plan and prepare your 30-second sound bite commercial. If the Mayor, Vice President or Deputy Minister of your organization came into your office right now and asked you how the records management program is going, what would you say? Would you know how to say it? Have your 30- second speech prepared and memorized and be ready to spin it when required. And, remember, keep the focus on the positive. In addition, different audiences will want to hear different things so be sure you know your organization and what they want to hear to buy your product (the product must be able to help them achieve their goals). See Winning on page 3 RIM Matters Newsletter Issue 5 Sept.-Oct Page 2

3 Winning, continued from page 2 Design the Approach Once you ve laid a positive foundation for your RIM program, you are ready to design your approach. In doing so, you need to consider several areas that will help sell your program. The first is your organization s strategic plan. How does your RIM program fit into your organization s strategic plan? What words from the strategic plan directly relate to your RIM program? Use those words and use them often when speaking about your RIM program (especially when speaking with management). Closely related to the strategic plan is the fact that when speaking to others about your RIM program, you need to be able to relate the program in a language that they understand. It is likely that you wouldn t use the same explanation about the RIM program when speaking to an Executive or when speaking to an Operations Clerk. This is not to say that one is better than the other, it is just that they really do speak different languages on the job. Find out what that language is and tailor your message appropriately. Listen to management for cues about what it is they would like to accomplish. This can help you tailor your message. Does management want to be more efficient? Do they want to be leading edge? Think about how your RIM program can help meet these needs. Then, communicate it. One particularly sensitive topic relates to perception about the records manager and his/her staff in the organization. What message(s) are you sending as a records manager? Are you part of the organization s image or are you somehow outside of the organization s norm (while some outside the box is good, it s not the case when it comes to perception!). Is your personality getting in the way of selling your RIM program? Let s face it. None of us are perfect, but if your personality is stifling your RIM program, then you need to change. How do you know how others perceive you? Well, why not ask the question and wait for the honest answer? Or, videotape yourself as you give presentations. Ask others to rate your personality. Sometimes the truth hurts, but it can also lead to positive change. Build the Approach Now that you know what message(s) you need to communicate, you need to determine how to communicate your message(s). Where to start? First, start by identifying your target audiences. At a minimum, you will have four different audiences: the Executive, your immediate supervisor, records staff, and the general users. Your message needs to be tailored to fit each type of audience. When speaking with your target audiences, remember to use appropriate language and detail not everyone wants to know about the tasks and resources required for moving records from office to offsite (especially not the Executive!). Be aware that competition for resources in your organization does not mean that you must compete for staffing and funding. If you can t beat them, join them! For instance, find out which offices in your organization are requesting administrative support that will also perform a records function as part of their job duties. Combine forces so that you, as the records manager, get control over records staff in your organization. Why is this a good thing? Here are a few reasons: consistency, standardization, and proficiency in records management functions for the entire organization. In all instances, remember that target audiences will only buy-in if they know that there s something in it for them. If you were on the receiving end of your message, ask yourself if you would buy the product as you re selling it. What s in it for you? The user will also want to know what s in it for them! If you wouldn t buy from you, then your target audience won t want to, either! RIM Matters Newsletter Issue 5 Sept.-Oct Page 3

4 Records Policy for the of Electronic Messages In order to manage the proliferation of electronic messages, organizations must define and document policy. The policy must include best practices for messages, instant messages, text messages, voice messages and all other electronically-based messages that the organization creates or receives. Once policy is formulated, it must be communicated and implemented throughout the organization. When developing policy, it is important to address the records management of the messages as well as the uses of the technology that created or received those messages. The following suggestions are provided by ARMA International when considering a records management policy for electronic messages: Use a team approach when developing policy. The team must include representatives from management, the Information Technology Department, end users, legal counsel, records management and archives. This is important since each of these groups brings a different perspective about the records management issues related to electronic messages Compliance and legal issues are driving the records management market growth from under $100 million in 2004 to $709 million last year it is expected to reach $1.6 billion by the end of 2007 Forrester Research When developing policy, refer to applicable standards to guide the policy development process. Relevant standards include, for example, Performance Guideline for the Legal Acceptance of Records Produced by Information Technology Systems (ANSI/AIIM TR ), Vital Records Programs: Identifying, Managing and Recovering Business-Critical Records (ANSI/ARMA ), ISO :2001, International Standard: Information and Documentation Records, and the US Department of Defense (DoD) STD, Design Criteria for Electronic Records Software Applications. Policy considerations should include the following: Security Compliance Appropriate use Confidentiality Privacy Encryption The policy should also address the content of the electronic messaging. This includes: appropriate content (must be suitable to the organization s business environment), attachments (establish clear guidelines for retention of attachments and how they are handled), drafts (typically, drafts should be purged immediately after the final version is approved), copies/duplicates (define which office keeps the official record for instance, typically the creator or the original recipient of the record will be the official record holder, all other offices should purge their copies of the message), and threads. Electronic messaging retention management is another key area for the policy. It must specify that the electronic messages that are classified as records will be subject to the organization s appraisal and classification policy including the records retention schedule. In addition, preservation and disposition of records must be addressed. The organization should also provide ongoing user training to achieve effective electronic message management. And, remember that communication is always the key to any effective policy or procedure. RIM Matters Newsletter Issue 5 Sept.-Oct Page 4

5 The Trouble with Enterprise Software By: Cynthia Rettig, (MIT Sloan Review, Fall 2007, Vol. 49, No. 1, pp.21-27) Information Failures and Organizational Disasters By: Chun Wei Choo, (MIT Sloan Review, Spring 2005, Vol. 46, No. 3, pp.8-10 ) Drawing upon a wealth of data, informed experience and expert opinion from Thomas Friedman to Bjarne Stroustrup, from David Gelernter to Nicholas Carr the author builds a case that enterprise software in large organizations has not delivered on its promise to fully integrate and intelligently control complex business processes while remaining flexible enough to adapt to changing business needs. Instead, ERP systems including both software applications and the data they process are variegated patchworks, containing 50 or more databases and hundreds of separate software programs installed over decades and interconnected by idiosyncratic, Byzantine and poorly documented customized processes. To manage this growing complexity, IT departments have grown substantially. Today s IT departments spend 70% to 80% of their budgets just trying to keep existing systems running. The research shows, says the author, that the typical IT structure is so dense and extensive that it s often a miracle that it works at all. Enterprise systems that were supposed to streamline and simplify business processes instead have brought high risks, uncertainty and a deeply worrying level of complexity. Rather than agility, they have produced rigidity and unexpected barriers to change, a veritable glut of information containing myriad hidden errors and a cloud of questions regarding their overall benefits. How did this happen? Rettig points to the inherent limitations in the nature of software, the costs of implementation and the vagaries of data. Indeed, she offers, enterprise software may be just too complex to deliver on its promises. She also suggests that the next new thing service-oriented architecture (SOA) is not likely to fare much better, for many of the same reasons. There are no easy fixes, cautions Rettig, save a large dose of sobriety, clear-eyed analysis and emphasis on simplicity and efficiency. Cynthia Rettig was director of knowledge management for B2B consulting company Canopy International of Newton, Massachusetts. She has consulted to software companies for over 20 years. She can be reached at Merck s withdrawal of the arthritis drug Vioxx from the market and the warning signs leading up to the crisis are emblematic of how organizational disasters often incubate over long periods of time. The author asserts that organizational disasters can often be foreseen, but warning signs sometimes go unheeded for various reasons such as: signals are not read properly because they seem consistent with organizational beliefs (as in the Enron collapse); signals are noticed but not acted upon (as in the failure of Barings Bank); or no one in an organization has the full range of information to see the situation as a whole (as in the recall of millions of Firestone ATX tires from drivers of Ford Explorers). The author presents several strategies that organizations can employ to help guard against such negligence. Employees must be aware of how biases affect judgment in crucial situations, and tendencies toward groupthink and group polarization must be controlled. In addition, companies must cultivate an information culture that not only recognizes and responds to unexpected warnings but also helps companies recover. Most important, ongoing conversations about safety and risk, backed by the will to act, are crucial to mitigating trouble and to helping organizations more easily recover from difficult situations. Chun Wei Choo is professor in the Faculty of Information Studies, University of Toronto. Contact him at RIM Matters Newsletter Issue 5 Sept.-Oct Page 5

6 Don t Fear the Wiki Dan Ortega, Vice President of Marketing at Astoria Software, September 13, 2007 (CMS Wire) (Wikipedia: definition of a wiki is a collaborative website which can be directly edited by anyone with access to it ). There have been a number of posts recently regarding the validity and role of wikis as an information delivery vehicle in a corporate setting. Part of the concern is the unregulated nature of how a wiki works. Because a public wiki includes user generated content, there is very little control over what gets posted by whom, when and how. The most common experience framework for wikis has been Wikipedia, and as several recent incidents have proven, user generated content is by definition subjective and therefore prone to manipulation. Besides self-serving manipulation of data within wikis, there is also the dynamic of the wiki mafia (wiki administrators deleting postings they disagree with). However, whether it s bogus postings or nerds bullying each other, this particular tempest in a teapot is happening primarily in the context of a consumer application. If we shift this dynamic into a more structured setting, e.g., user generated content that becomes part of a major corporation s document repository, we are dealing with an entirely different set of circumstances. The flow of information, regardless of its end destination (marketing, customer support, operations, etc.), is normally under incredibly tight control. The first loosening of this control was the rise of blogs; however, most corporate employees who blog also have the good sense to realize that what they say is getting blasted out across the web (specifically, across their boss desk), so career preservation tends to be a good content regulator. Compare this to personal blogs (particularly the anonymous ones), where anyone with an opinion can yell at the top of their lungs about anything with no consequences. Corporate blogs are a whole different animal and are much more tightly caged. If you take the notion of a corporate blog and loosen the filters to evolve it to a wiki, is this the equivalent of letting a pack of hyenas into your living room? A lot of pundits seem to think so; however, with the proper review and approval mechanisms there is no reason to assume you can t maintain the same level of control. The benefits of a wiki as an input mechanism to a documentation process that previously sat behind an information firewall are vast. The people who are most likely to come up with good suggestions to improve a product are going to be: 1. People who are out in the field servicing the products day to day, and, 2. People who are using the product and wish it worked better or differently. This is a huge, untapped resource for any manufacturer in nearly any vertical as long as the wiki input is pushed through a review and approval cycle. In fact, once this technology is deployed, your biggest challenge is going to be keeping up with all the good ideas that start streaming in. RIM Matters Newsletter Issue 5 Sept.-Oct Page 6

7 ECM or EDMS or EDRMS or? Enterprise Content (ECM) is a subset of content management (CM) systems that are used to manage content within and across a given organization (enterprise). Content encompasses not only records and documents in the traditional sense but it also includes images, , web sites, photographs, maps, e-forms, audio and video. The term ECM has become the industry standard for a number of distinct but related applications in the business environment. This includes document imaging, document management, records management, workflow management and archiving. While web content management (WCM) is included in ECM, web content management is also treated as a separate subset of CM systems. The following illustrates the components of an ECM (from New Mexico Enterprise Content Project, September 29, 2006 ). Enterprise Content Document Imaging Document Records Workflow Web Content Documentcentric Collaboration Integrated Document Archive & Retrieval Digital Asset e-forms Processing Archiving Gartner Research says that Enterprise content management (ECM) will be the strategic foundation of a new model for user communities. A profound shift in the document and content management markets will affect the way users make purchases. ECM has emerged after 10 years of market consolidation. According to Gartner, today, ECM encompasses the following core components: Document capture and document imaging for capturing and managing paper documents Document management for check-in/check-out, version control, security and library services for business documents Web content management for automating Web-based content, and managing dynamic content and user interaction (e.g., automated content upgrades and end-user support) Records management for long-term archiving and the automation of retention and compliance policies, and to ensure legal or regulatory record compliance Document-centric collaboration for document sharing and supporting project teams Workflow for supporting business processes and routing content, assigning work tasks and states, and creating audit trails Further, Gartner says that ECM can also include: Integrated document archive and retrieval systems for documents and reports E-forms for exchanging electronic content Digital asset management for storing and managing rich media content archiving and management for retaining electronic communications in support of compliance. See ECM on page 8 RIM Matters Newsletter Issue 5 Sept.-Oct Page 7

8 ECM, continued from page 7 According to the CIO Decisions Readership Study, July 2007 (multiple responses allowed in the survey), the top drivers of IT strategy for are: Risk management (cited by 48% of 384 respondents) Cost savings (also cited by 48%) Compliance (cited by 36%) Based on this study, it is clear why government and other organizations are turning to ECM systems. In addition to the above top 3 reasons, other key business drivers for implementing an ECM include: Space savings Improved operational efficiencies Security Competitive advantage ECM software will top $3.9 billion in 2008 The ECM market is growing at a compound annual rate of 19% (faster than the overall software market) Forrester Research Based on all the great benefits afforded by ECM systems, why aren t all government and businesses implementing ECM? The main reason is the legacy belief that ECM is too expensive. However, this isn t always true. While some systems may indeed be expensive, what organizations need to consider is the number of people who need to access the organization s business information and the costs of not being able to access that information in a timely manner. In other words, what makes organizations different from each other is the number of people who need access to organizational information. With the increasing number of ECM solutions in the marketplace, content management is a viable business solution for all size businesses. However, even with available budgets for systems such as ECM, some organizations may not be ready for changing to an ECM. Change, after all, means a new way of doing business and this new way inevitably results in some upheaval for the organization. Not all organizations can adjust easily to change (but that doesn t mean that they shouldn t try!). Conversion is a critical component of document and records management. It is no secret that most organizations keep the wrong information, they keep too much of it for too long and in the wrong place this typically makes conversion cumbersome and costly. ECM providers can offer a range of services from receiving documents, processing them, bulk scanning, projectbased scan services, microfilm and microfiche conversion, data migration and output management services. Conversion centers can provide a mailroom service, further reducing the administrative overhead. In addition, the best partners offer these services onsite or offsite ( Legal issues spur growth of records management September 7, 2007 IT Web). If your organization is considering moving to an ECM solution, some ECM software products include the EMC Software Content product suite (the products formerly known as Documentum), OpenText Livelink, and Alfresco. In addition, Oracle offers its Universal Content system (formerly Stellent Universal Content ). Whatever solution you choose, prepare your requirements ahead of time and request vendors to send you their production specifications so that you can conduct a thorough evaluation. RIM Matters Newsletter Issue 5 Sept.-Oct Page 8

9 RECORDS AND INFORMATION MANAGEMENT RESOURCES AIIM-The Enterprise Content Association AIIM is the international authority on Enterprise Content (ECM) - the tools and technologies used to capture, manage, store, preserve, and deliver content and documents related to organizational processes. ECM enables four key business drivers: Continuity, Collaboration, Compliance, and Costs. ARMA International is a not-for-profit professional association and the authority on managing records and information paper and electronic. Bitpipe.com is the definitive guide to online resources for IT professionals. Provides information through technology white papers, webcasts, case studies and IT product information. British Columbia Corporate Information Branch CIMB provides central information management services and support to ministries, Crown corporations and agencies within the Government of British Columbia. CIMB is responsible for government recorded information management policy, standards and procedures. Gartner global leader in technology-related research and advice. IDC International Data Corporation get the latest trends, surveys and forecasts. ISO International Organization for Standardization check out the latest information on ISO 15489, the world s first standard for records management. Library and Archives Canada Library and Archives Canada collects and preserves Canada's documentary heritage, and makes it accessible to all Canadians. This heritage includes publications, archival records, sound and audio-visual materials, photographs, artworks, and electronic documents such as websites. As part of Library and Archives Canada s mandate, they work closely with other archives and libraries to acquire and share these materials as widely as possible. National Archives and Records Administration (USA) (NARA) Of all documents and materials created in the course of business conducted by the United States Federal government, only 1%-3% are so important for legal or historical reasons. These documents are kept by NARA forever. Learn about NARA s record keeping standards. SearchCIO.com is part of the TechTarget network of industry-specific IT Web Sites. Get the latest news on everything that matters to CIO s! UPCOMING TRAINING OPPORTUNITIES Introduction to Records & Information A one-day workshop covering the basics of RIM. Victoria March 10, 2008 Richmond May 2, 2008 Converting Your File System A one-day workshop demonstrating how to convert your office s old files to a new ARCS, ORCS or LGMA classification system. Victoria March 13, 2008 Richmond May 5, 2008 Using ARCS, ORCS and LGMA A one-day workshop teaching the basic skills needed to master ARCS & ORCS. Victoria April 2, 2008 Richmond May 7, 2008 Preparing Records for Offsite Storage A one-day workshop providing practical hands-on experience on how to prepare records for offsite storage. Victoria April 9, 2008 Richmond May 9, 2008 Effective A one-half day workshop for Executives and others who want to get a handle on their e- mail. Demos & practical hands-on experience provided. Victoria April 14, 2008 Richmond May 12, 2008 Designing Records Classification Systems A two-day workshop providing practical hands-on experience in developing file taxonomies. Victoria April 16-17, 2008 Richmond May 14-15, 2008 Planning & Implementing Your RIM Program A two-day workshop providing the tools and skills needed for developing a RIM program within organizations. Victoria April 23-24, 2008 Richmond May 26-27, 2008 For more information and to register, go to: Or call: RIM Matters Newsletter Issue 5 Sept.-Oct Page 9

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