Main Difficulties facing Records Managers - Essay Example

Main Difficulties facing Records Managers Attempting to Manage the Electronic Records of an Organisation INTRODUCTION Information technology is creating challenges in electronic records management (ERM) which includes preservation. Complex electronic records are increasingly being created in a decentralized environment and because these are done in volumes, it is difficult to organize them and make them accessible. Further, storage media themselves are affected by the dual problems of obsolescence and deterioration (Kontz 2003). These problems are compounded as computer hardware and application software become obsolete, leaving behind electronic records that can no longer be read. Unless these challenges are addressed, valuable government information may be lost forever (Bearman 1990; Cox 2000; Dearstyne 2002; Veatch 2002; and Kurtz 2004). Electronic records management or ERM that is mainly managing and preserving access to digital records is not and never will be easy; but it is not an impossible task. ERM provides a digital environment for capturing electronic documents and applying standard records management practices. Supporting the medium to long term information management needs of the business, it manages a corporate filing structure, document classification within the filing structure and formal retention and disposition scheduling. This is based on an approved disposition and review schedule of the organization (eGovernment 2001). The following three events noted by Kurtz (2004) speak of the value of maintaining sensible ERM practice today. They point to neglect of preserving information and ignoring the impact of technology. First, in March 2002, the FBI's handling of the investigative records of the Timothy McVeigh case was attributed to outmoded computer systems and systemic information management problems that created a last-minute delay in the execution of McVeigh. According to the report, thousands of pages of FBI investigation reports were not turned over to McVeigh's lawyers before the trial due in part to antiquated computer systems that could not locate and retrieve the needed information. Timothy James McVeigh was an American convicted of eleven federal offenses and ultimately executed as a result of his role in the April 19, 1995, Oklahoma City bombing. He is commonly referred to as the Oklahoma City bomber. The bombing, which claimed 168 lives, was the deadliest act of terrorism in U.S. history until the 9/11 attack on the World Trade Center in New York, and remains the deadliest incident of domestic terrorism in U.S. history (Cole 1996). Second, on September 11, 2001, the tragic events at the World Trade Center and the Pentagon highlighted the importance of having continuity of operations plans in the event of a disaster. In both places, business operations were affected because critical information was destroyed. Without such plans, agency information assets and future business operations and services are at risk (Kurtz 2004). Third, numerous allegations have been made concerning the Departments of Interior and Treasury destroying Indian trust account records related to a class action lawsuit filed against the Government. The plaintiffs allege that the Government has mismanaged and lost information on individual Indian trust accounts that will deprive the plaintiffs of billions of dollars in royalties (Kurtz 2004). This paper looks into the main difficulties facing records managers attempting to manage the electronic records of an organisation. They include old ways of operation, patchy compliance to laws, absence of corporate control, the dysfunctional ways archivists look at records, resistance of archivists to changes, governments and universities ignoring ERM, leadership void, lack of guiding principles, diminished role of archivists and records managers in information policy, and lack of competency of archivists and records mangers. In this paper, the terms "archivists" and "records managers" are used interchangeably. DIFFICULTIES Old ways of Operation. Prior to recent information age government initiatives, most government organisations relied on maintaining physical records in conventional paper filing systems, by printing electronic records to paper. As electronic methods of working increase in extent and sophistication, these systems are breaking down. Staff may forget to print and file significant documents; the e-mail messages are deleted from servers without any prior archiving; the website and Intranet documents are not effectively controlled as dated versions; and multi-media documents cannot be printed without loss of information (eGovernment, 2001). Bearman and Trent (1997) also observed that the practical focus many archivists have on managing their collections often makes the adoption of research results difficult (Bearman and Trent, 1997). Patchy Compliance to Laws. As it is, laws and standards have been implemented in the last ten years, but compliance is still patchy and many businesses of all kinds have still not realized the importance of effective records management and ineffective silos still abound (Foster 2006). With well-managed records, the organizational information assets can be found and are available for as long as needed, regardless of the format in which they were created. In turn, organizational information assets support policy formulation and managerial decision-making. With that position, business is conducted in an orderly and efficient manner, and that implementation procedures are clear to users and consistent across the enterprise (Kurt 2004). No Corporate Control. Up to the present time, new information systems development often generates electronic records that do not fall under any formal corporate management and control (e-Government 2001). Effective electronic records management to support information age government will require a formalization of control over electronic records already existing in departments and agencies, as well as planning for those that will be generated by new service delivery and policy-making systems. If there is to be commonality, what makes this difficult is the rise of various models of archiving proposed by various individuals as described by Bruce Dearstyne (2002) Dysfunctional Ways Archivists look at Records. One of the difficulties in electronic records management may be how archivists and records managers themselves value records (Cox 2000). For a long time, many of them were content to allow others to think of archives as old, useless and otherwise not very viable records. When records became useless to the organization or individual creating them, they were sent to the archives. But records captured as part of electronic records and information systems will rarely get to this point, because of the great financial and other resources invested in creating and maintaining these systems (Cox 2002). The old dichotomies between current and non-current, custody and non-custody, and even records and archives may be distinct relics of the past. Resistance of Archivists to Changes. There are systems of power in place but that there is local resistance to this (Donoghue 2000). Despite the real intellectual revolution that has occurred with electronic records management, in the local level in the world of records professionals, there is not much recognition that these records systems are the primary responsibility of archivists, that these are needed to be maintained in electronic form, and that they challenge certain archival principles or assumptions (Cox 2000). Most archivists operate as if nothing has really changed. In actuality, they are resisting the change in their work, the transformation of the kinds of long-desired researchers, or the shift from more solitary and ordered practice to a more chaotic process of partnerships and collaboration (Cox 2000). Mentioned by Cox (2000) as the most graphic image of the American archival profession's difficulties in dealing with electronic records is the Historical Records Repositories Survey sponsored by the Council of State Historical Records Coordinators. This survey allegedly focused on non-governmental repositories. It found that only an infinitesimal portion consider electronic records as an important issue and any interest seems to be concentrated only in the largest repositories. In fact, when asked to name the "most pressing problem confronting your organization's historical records collection," the issue of electronic records was only listed on 17 of 2,532 responding organizations. Walch (1998) was said to assume that this could be because electronic records management is well under control, but this is not the case. Only 23.8 percent of the respondents see any need for basic training in this issue for their staffs, while only 11.4 percent are actively collecting computer media (Cox 2000). Governments, Universities Ignore ERM. Despite the existence of hundreds of archives and records management programs, only a handful of programs are engaged in work with ERM. The state government archives has a limited program, but one which is severely limited in resources, authority or knowledgeable staff. To Cox's (2000) observation, most government agencies work as if there are no particular requirements or concern for ERM, all risking, in the process, the loss of many crucial records. For example, in working with the Pennsylvania State Historical Records, Cox (2000) observed that local government looks to the state government, and that local government officials and records professionals are prey to unscrupulous vendors and gimmicks promising magical solutions to ERM. Universities, with one or two exceptions, ignore ERM, leaving individual units to fend for themselves in managing records. The fact is that local historical records repositories, responsible for collecting historically important personal papers and organizational archives, tend to ignore the existence of electronic records because of lack of the facilities to administer and provide access to such records (Penn 1993). A reality is that an organization must first recognize the importance of its business records and the costs and risks associated with ignoring them. Without this foundation, it is unlikely that an organization will invest the time and attention to detail that the tools demand ("Center," 1998). In relation to this, in 2003, Linda Koontz testified before the House of Representatives that the National Archives and Records Administration (NARA) acknowledged that its policies and processes on electronic records had not yet evolved to reflect the modern record keeping environment or that records were not being created electronically in decentralized processes. Moreover, Koontz (2003) said NARA was also not performing systematic inspections of agency records programs despite the fact that such inspections are important as a means to evaluate individual agency records management programs, assess government-wide progress in improving records management, and identify agency implementation issues and areas where guidance needs to be strengthened. The Koontz (2003) report also revealed that records management programs were generally afforded low priority by federal agencies so that acquiring the more sophisticated and expensive information technology required to manage records in an electronic environment was not deemed important. Koontz testified before the Subcommittee on Technology, Information Policy, Intergovernmental Relations, and the Census, Committee on Government Reform, in her role as Director of Information Management Issues, US General Accounting Office. Meanwhile, the Electronic Records Policy Working Group (ERPWG) reported that records and information are not managed as agency business assets (Kurtz 2004). Just as in Kootnz (2003) report, records management is not viewed as critical to agency mission. It is either not incorporated into business processes, or not incorporated early enough, particularly as these processes are automated. Moreover, marginal support for records management has led to a lack of training, tools, and guidance for all staff within Federal agencies; and, that the records management and information technology disciplines are poorly integrated within Federal agencies. (Kurtz 2004). Leadership void. Many records professionals have seen, over the years, the problem with electronic records management as a problem with professional leadership. Cox (2000) claims that there is lack of leadership because the individuals filling these positions reflect what records professionals have been doing or not doing in their own institutions. Not too many years ago, Ira Penn portrayed a "leadership void" in the records management discipline in this way: "In the 1960s, when the newly-established automatic data processing 'profession' laid claim to magnetic tape records, records management leaders responded - with silence and inertia. In the 1970s, when the newly-established information resources management 'profession' laid claim to all forms of electronic record media, records management leaders responded - with silence and inertia. And in the 1980s, with the litigation frenzy presenting the opportunity of a lifetime, with the prospect for legitimacy materializing and the chance to get back that which had been usurped looming within arm's reach, records management leaders responded - with silence and inertia" (Pen 1993). Lack of Guiding Principles. Archivists need to determine that the business of electronic records management is bigger than themselves and that the world has become more interested in time, durability and memory (Cox 2000). As The Economist reports, one project to construct a clock that "would run for 10,000 years" involved creating a list of general principles: longevity, transparency, maintainability and scalability ("Across the Abyss" 1999). This set of principles seems much like those principles set forth by archivists for designing new electronic recordkeeping systems. If the limited research projects in ERM give us these principles and these principles are used in all types of organizations by all archivists, then they will have been successful. Yet, detailed reviews of the professional literature and other evidence suggest that archivists are far from this point (Cox 2000). Diminished role of archivists and records managers in information policy. John McDonald (1997) in his description of Canada's Government On-Line initiative noted the diminished role of archivists and records managers in establishing information policy. Like Kowlowitz (1991), he acknowledges this development as a reality of the digital era and emphasizes that the archival community, if it hopes to achieve ERM success, must redefine its role and establish strong relationships with other electronic records stakeholders: information technology staff, budget analysts, auditors, program managers, and, most critically, chief information officers. Electronic records programs must be opportunistic, adaptive, and open to change (Lee 2001). Archivists and records managers have little control over the information policy agenda and, therefore, must be prepared to respond quickly to new developments. Guerilla tactics, described by Cal Lee (2001) in the context of electronic records are often necessary. Lack of Competency Skills of Archivists and Records managers. Archivists and records managers must add value to the electronic records management debate (Dearstyne 2002). As Kowlowitz (1991:102) points out, it is not enough to show up to the meetings and that archivists must "earn their place at the table" by contributing substantively to the discussion. This should not be taken to mean archivists and records managers must master the details of every new technology that comes along. Rather, as McDonald advises, archivists should apply their core competency- their deep knowledge of records-to information policy issues. Archivists and records managers are records experts who must know what records are, why they are important, when they should be captured, how long they should be retained, what makes them authentic, and how to make them accessible. This kind of expertise is an essential and often welcome addition to digital information policy discussions and information systems design. Kowlowitz (1991) Horton (2002), Slavin (1999), and Dearstyne (2002) warned that traditional archival competencies are not to be trusted as enough. Archivists and records managers must develop new skills, techniques, and vocabularies in order to establish credibility with technologically savvy partners and to offer meaningful electronic records management assistance. In addition Dearstyne (2002: 148) recommended that archivists and records managers at all levels of an organization hone their management, communication, and teamwork skills. He also suggested that ERM become comfortable with "improvisation, including an understanding of how to blend tradition and innovation, a sense of acceptable risk-taking, and an inclination to take unprecedented approaches and new tacks to achieve agreed-upon objectives." CONCLUSION This paper discussed the main difficulties facing records managers attempting to manage the electronic records of an organisation. They included old ways of operation, patchy compliance to laws, absence of corporate control, the dysfunctional ways archivists look at records, resistance of archivists to changes, governments and universities ignoring ERM, leadership void, lack of guiding principles, diminished role of archivists and records managers in information policy, and lack of competency of archivists and records mangers. This presence of these difficulties must lead to research in order to look for answers. A strong business case is needed to justify the role of archivists in the creation of electronic records management systems (Bearman and Trent 1997). The next steps require broad, comparable implementations, not isolated funded studies. The problem will be to bring results from such projects back to the community. There is a need to provide measurable costs, effects and tactics on a large scale. This, of course, involves the need to collaborate with people outside the archives profession. The problem begins with the need to communicate better, including communicating better about research agendas (Bearman and Trent 1997). In research, according to Bearman and Trent (1997), the most promising areas seem to require greater specificity in their focus. In the definition of records, there is a need for concrete risks associated with different definitions in different circumstances and specification of "recordness" (Production Rules, n.d.). In policy, there is a need to define the concrete costs and benefits of specific policies and their implementation through organizational, national and international mechanisms. For the maintenance of records over time, there is a need for comparative migration data and measures of the effectiveness of different systems architectures, and strategic solutions for the universal retention of records. The experts mentioned here claim that none of these problems is going to be easy to solve. There is a need for inter-disciplinary collaboration to move beyond 'open questions' to workable solutions. The archival community remains technically and economically ill prepared to step up to this formidable challenge. The truth is, archivists have not yet found a way to enlist others in an on-going fashion in solving problems that cannot be addressed by archivists alone. This needs collaboration from other disciplines as noted by Bearman and Trent (1997) among many others. References "Across the Abyss: How to Send Messages Over Millennia," The Economist . 19 Dec. 1998-1 Jan. 1999. insert. "Functional Requirements for Evidence in Recordkeeping", a research project funded by the National Historical Publications and Records Commission (NHPRC), known as "The Pittsburgh Project". 29 Mar. 2007 "The Preservation of the Integrity of Electronic Records," University of British Columbia research project. 29 Mar. 2007 Bearman, David and Jennifer Trant. A Report from the Archives Community. 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