Implementing a corporate records management program in Colombia, South America

Betton, Vicki

Imagine ordering your file folders from a company that makes each folder by hand: a company that has an elevator made of ropes, a tire, and two by four planks! Imagine opening a folder of information valued at $10,000 to find the contents have been turned into a pile of dust by microscopic insects. These and other challenging experiences are every day occurrences for records managers in so-called "third world" countries.

This article serves two purposes. The first part provides a case study of an international records management project. The second part examines unique challenges associated with the project and explores how project management tools and records management principles can be modified to be practical in non-traditional settings.

The case study involved a six-month pilot records management project in the legal department of a major oil company in Colombia, South America. As a classic records management implementation project, it included an inventory, retention schedule and file structure design, vital records identification and active/inactive file management. The project also required extensive training of the client's records management staff, so that they could complete the initial implementation and continue with other departments.

After the case study you will find a section devoted to some of the unique challenges and experiences involved in completing the project. You should note that one six-month project cannot possibly provide an in-depth understanding of records management issues for any one country, let alone a continent. However, my firsthand experiences, coupled with experiences of others who have also conducted business in foreign countries, provide me with the necessary insights to give some basic guidance to others who may be venturing into the international arena.

THE CASE STUDY

This is a classic records management start-up project, using standard project methodology. It is presented here for those of you who may be looking for a basic project model. You will also find it useful to understand the mechanics of the project before you delve into the unique problems and situations we encountered. There are eight sections to this study. First, country and client profiles are offered to give you perspective. Next, the project outline reflects the six basic components of traditional project methodology: scope, resources, work plan and schedules, communication, quality, and cost.

COUNTRY PROFILE

Colombia is located in the Northwest corner of South America. It is two hours by plane from Miami, Florida. It is crossed by the equator and is the only country in South America bordered by both the Caribbean Sea and Pacific Ocean. The Magdalena River flows northward 1,000 miles from the country's interior and empties into the Caribbean Sea. While only about the size of Texas and California combined, it is a land rich in geographical contrasts. The country is divided by three ranges of the Andes Mountains. This accounts for the extreme contrasts of snow-capped peaks, equatorial jungles and great stretches of plains.

The client has offices in three geographical regions. Headquarters are located in the 450-year-old seaport of Cartagena (pop. 550,000). The average daily temperature in this tropical coastal area hovers around 85-90 degrees F. with 90% humidity. The second office is located in Neiva (pop. 200,000). Situated on the plains, the daily temperatures are still hot, but the land is less humid. A third office is located in Bogota (pop. 4 million). At 8,600 feet above sea level, Bogota is one of the world's highest capital cities. With an average temperature of 55 degrees F., winter clothing is worn year round.

Colombia has a total population of 35 million. Unlike many developing countries, it has over 23 cities with populations exceeding 100,000 inhabitants. The people are predominantly of Spanish, Indian, and African descent. It is a land rich in cultural heritage. The country is considered a bridge between the great Maya, Aztec, and Inca civilizations that existed before the arrival of the Spaniards in 1500. Though Spanish is the national language, the country acknowledges the economic necessity of being bilingual. English is now the required second language in all schools.

A few words must be said about attitudes toward third world countries. One of the great misperceptions is that there is less sophistication in terms of life-style, corporate development, living conditions, etc. None of this is necessarily true. Colombia certainly does not fit that mold. Yes, there are areas in the remote regions relatively untouched by modern technology. Yes, the country has a high poverty rate. However, there are also a good sized number of highly educated professionals who conduct business the same as we do in North America. The buildings and engineering infrastructures in the cities are modern, indicative of educated, experienced, and well-traveled people.

CLIENT PROFILE

The project was with a major oil company doing business in Colombia. The company has over 1,000 employees and contractors located in three operational locations, plus numerous field locations. The organization has had considerable success in the exploration and development of oil reserves and pipeline development. Its structure is typical of oil/gas companies with exploration and production departments that are supported heavily by the services of data processing, legal, and administrative operations. It has been influenced by European methods of operation.

Records management practices also mirror typical oil/gas organizations with large centralized areas for exploration and production information, legal contracts and agreements, spending approvals, management meetings, and general corporate and administrative information. Most of this information is duplicated between the departments, and some of the same information is also duplicated between locations. Departments use autonomous approaches to handling departmental files, but are frustrated by the amount of duplication and lack of integrity of information within the company as a whole.

Prior to the inception of this project, the consulting firm had implemented another project to better organize the technical exploration and production information. The "Data Management" project increased an overall awareness of the benefits of records management. That awareness coupled with the constant growth of paper within support services departments, prompted senior management to explore the benefits of developing a full records management program for the non-technical and administrative records.

A comprehensive records management study was conducted by the consulting firm over a four-month period in 1991. The study involved a thorough review of existing systems and procedures in all three locations (Cartagena, Neiva, and Bogota). Data gathering included interviews with a total of 70 employees. The study identified a number of deficiencies that are common to rapidly expanding organizations:

* Filing systems did not meet user requirements for easy filing and quick retrieval,

* Uncontrolled records growth, as a result of no formal records retention schedule,

* No vital records program,

* Inadequate on-site and off-site records storage equipment and procedures,

* Absence of trained, professional Records Management staff,

* Inadequate policies and procedures, and

* No records management structure to take advantage of, or implement records management principles and new technology.

SCOPE

As a result of the records management study it was recommended that a comprehensive records management program be implemented over a period of 28 months. A phased approach was prescribed to implement the following recommendations on a department-by-department basis:

* Design a uniform file structure,

* Develop a retention schedule,

* Create a vital records/disaster recovery program,

* Improve the off-site storage program,

* Develop a records management manual, and

* Implement a formal RM program with allocated and trained staff.

Senior management elected to implement a pilot project within the Legal Department in all three locations. Additionally, the vital records program was to be implemented in the Exploration and Production Departments in Cartagena. The project was to start with a two-week intensive training course for the three central records supervisors and three contracted records technicians. The goal of this project was to provide enough training and hands-on implementation experience for the client's staff to take over the project at the end of six months.

RESOURCES

The consulting firm supplied three consultants: a project director from the UK, a senior consultant/CRM from the USA, and a consultant/analyst also from the USA. The Project Director was scheduled to be on location for nine weeks. The other two consultants were both on location for the six-month duration. One consultant was proficient in Spanish; the others spoke very little upon arrival.

The client supplied one full time supervisor and three clerks for the duration of the project. The records supervisors from Neiva and Bogota were also scheduled to assist for 15 weeks. Two of the supervisors were college graduates with degrees in library science. One supervisor was proficient in English; the other three were not as fluent. All were taking company offered English courses. All three of the selected clerks were proficient in speaking and writing English.

WORK PLAN AND SCHEDULES

The project commenced June 1992 and was turned over to the client in February 1993--two months behind schedule. The additional two months were the result of staffing down-time, computer downtime, addition of another office to the scope of the project, and a delay in ordering folders and labels for the conversion.

The first three weeks were devoted to project preparation, orientation of consultants, selection of internal supervisors and clerks, and development of the training course. All initial records volumes, locations, etc. had to be recalculated due to the one year lag in time between the compilation of data in the records management study and the start of the actual project. A significant amount of structural and physical reorganization had taken place during that year and a number of the statistics were invalid.

The next two weeks were devoted to conducting an intensive records management training course. A glossary of records management terms was compiled from several sources and used as a backdrop for determining what level of records management proficiency the supervisors and clerks possessed. Several of the terms had different meanings in the two languages, and a clear understanding of both meanings took time and effort for all of us to achieve. The terms were then applied to the standard principles and elements of records management as they were introduced in modules over the two-week period.

The training was an invaluable "start" in the learning process. It was apparent that there are similarities of "common sense" approaches between the two countries. It was also apparent that a great deal more exposure would be needed before some of the more progressive records management principles, such as the functional classification structure, could be understood --let alone embraced.

Five weeks into the project, we were ready to start work! The implementation plan consisted of six phases, each with a set of tasks or activities. There were a multitude of individual assignments required for each activity within each phase. Needless to say, the exact order of these tasks was changed to accommodate scheduling, changes to the scope, etc. The outline shown in the accompanying sidebar reflects what was accomplished in the project, with the exception of the Phase 6 audit--which is pending.

COMMUNICATION

Communication was one of the most important and challenging aspects of the project; something to be expected in a bilingual situation. Several levels and types of communication tools were employed --none too much or often enough.

The formal reporting structure included weekly written reports submitted in advance of the weekly meeting with the client administrative manager. These reports, along with additional consultant insights and concerns, were also submitted via fax to the project director.

The weekly reports were aggregated into a monthly package and/or into the phase reports which were submitted to senior management (referred to as the Steering Committee). Steering Committee meetings were held on an as needed basis, and at each phase which required approval. These took the form of formal presentations with overheads and handouts which required considerable preparation.

QUALITY

Quality control (QC) challenges existed from the very beginning. In addition to standard QC practices, several special steps were built into the processes.

Our first real challenge was finding clerical staff with the right kind of skills, or at least with an aptitude for detailed work. The typing skills of those selected ranged from around 30 to 55 wpm. None of the staff had sufficient data entry proficiencies. The first order of business was to enroll them in a two-week computer basics class.

The second challenge involved our computer setup. The project team was provided three computers --two PCs with Windows and one Macintosh. All three were on the building-wide network which allowed us the use of various printers located on three different floors. The printer just outside our office was invariably down, which meant a considerable walk to remote printers.

Working on Microsoft Word 5.0, we were all able (after six months) to navigate with relative ease between the PCs and Macintosh, transferring documents and shifting workloads as necessary. It was a challenge to keep all units functioning at the same time--and to keep our work sufficiently backed up. We had a continual problem with floppy disk reliability and failures--so much so that we made backups of backups. (That experience led me to discover one of the less pleasant sides of working in a third world environment. Apparently it is not uncommon to receive defective merchandise from overseas distributors.)

Work productivity standards were applied to all tasks such as physical inventory, boxing inactive records, etc. The standards were created by clocking the time it took the consultants to do a task, and averaging that figure with the time it took the clerks to do the same task. Productivity was tracked by the clerks on a daily basis via "productivity sheets." Completing the daily production sheets was an uncomfortable task for the clerks. No amount of explaining the many uses (such as job justification) of such statistics made the task less odious for them.

Standard audits were done on all physical work such as boxing inactive records, transferring contents from old folders to new, and folder labeling. All typed or data entry work was proofed twice. This was required since all project work and reports were done in English. While the clerks all spoke and wrote in English, they were not proficient enough to catch 100% of the errors.

COST

One of the most unusual aspects of this project was that the on-site consultants were not responsible for, and in fact, did not even know what the budget figures were. The project director and consulting firm negotiated the contract well in advance of project start-up. The client chose to monitor/control budget internally once the project was underway.

My initial reaction to the lack of budget information was one of discomfort. We were aware that the cost of this project was significant, and timely results were expected. We acted accordingly. Once I accepted the situation, I found a sense of liberation. It was refreshing not to have to deal with the stress of financial constraints. Recommendations were based on what was correct for the situation and were not compromised by budgetary concerns.

That is not to say cost was not one of the criteria used in decision making. It was just a pleasure to see that quality was given a higher priority in the process. Bids were required for selecting the folder and labeling vendors. However, the selection process revolved around product quality and vendor ability to produce, and cost was a less significant factor. Travel expenses were closely monitored by the client, and in several instances, project scheduling was altered to accommodate travel arrangements.

UNIQUE CHALLENGES AND EXPERIENCES

I accepted the assignment because I felt doing such a project in another country might prove rewarding and challenging. It did on both counts. If done in the USA or Canada, this project would have been completed with little difficulty. Indeed, it would have held little challenge other than the normal "selling" that is required of all records management efforts. However, project management takes on a whole new meaning when undertaken in a country and culture other than one's own. Cultural differences and political ramifications affect every aspect of getting work accomplished.

CULTURAL DIFFERENCES

TIME PERCEPTIONS

As a North American coming from a highly rigid "clock watching" society, I found the Colombian attitude towards time a unique experience. It was not that they disregarded time or procrastinated on everything. For the most part, people just did not let time run their lives. Schedules were far less rigid. We gradually learned how, when, and with whom time adjustments had to be made.

The cultural attitude towards time was compounded by the simple fact that all people (ourselves included) function more slowly in a tropical climate. You have to or you might faint from heat exhaustion. What would have been a five minute walk between offices in cool, dry Denver became a fifteen minute stroll in the heat and humidity of Cartagena. Even though my pace slowed considerably in the six months, I was still accused of walking too fast, and in general, of being too time conscious.

While scheduling could not help but be affected by this cultural difference, the client remained very aware of, and intent on, keeping the overall project on schedule. The project was given top priority and the team every possible courtesy in getting the necessary resources to keep on schedule. Were it not for management support and client staff effort, the project would not have been as close as it was to meeting the project deadline.

Speaking of time and deadlines, a word of advice. If you think there is a remote possibility you might at some point in your life work in another country--start getting your paperwork in order now! It took me over seven months to collect and certify all the paperwork required for my visa and work authorization. One year later, my work papers were still not in proper order. Delays started on the U.S. side when my express-mailed passport request wound up in San Francisco on the desk of an airline supervisor instead of at the Seattle Passport Agency.

LANGUAGE

The issue of language created frustrations for the entire project team. The client had hoped that the consulting staff would be fluent in Spanish. One consultant was Spanish proficient while the other had taken a crash course which allowed self-sufficiency on a personal level. Language was not a true "barrier" in that most everyone in Colombia is striving to learn English, and welcomed the opportunity to practice. (I must confess: my Spanish speaking ability did not benefit as much as it should have, because I was not forced to speak the language.)

On the project level though, language had a significant impact. Because one client supervisor was English proficient, and one consultant was Spanish proficient, we assumed that an interpreter would not be required. We conducted the two-week training course without that aid. In hindsight, that was a mistake. First, the consultant's proficiency was as a Mexican/American. We learned quickly that Spanish spoken in Mexico has both subtle and not-so-subtle differences from the Colombian dialect. Secondly, we discovered several terms we used in records management had different meanings in Spanish. Given that the training course was vital, it would have been better to use an interpreter. There is no question that we would have avoided many of our later conflicts if we had done so.

In many ways it would have been better to have had an interpreter on site for the whole project. The very fact that there was some language proficiency created even greater miscommunications because we at times "assumed" understanding when, in fact, there was none. Daily instructions and training constantly had to be confirmed and re-confirmed to avoid problems and inaccuracies. This issue cut both ways in that the consultants also thought they understood what was being explained, when they didn't grasp the total context of what was being said.

Perhaps the best example of this is one that had serious ramifications on the scope of the project and the long-term future of the program. It was well into the last half of the project that we discovered a philosophical conflict which was, in part, a lack of understanding about what was meant by "departmental filing." Some members of the Steering Committee felt only those records residing in Central Records should be included in a formal program, and that departments should maintain their convenience copies in an informal manner. Other members assumed that the uniform file structure and standard records management procedures would be applied to department files as well as those in central records.

Add unique social conventions to the language differences and even more interesting situations arise. For example, as a long-time, active ARMA International member, I was hopeful that we could sponsor the charter of an ARMA International chapter during my stay in Colombia. A logical first step, I thought, would be to do some informal networking during my in-country travel. Early in the project, we scheduled a trip to Bogota and I viewed it as an excellent opportunity to get acquainted with other professional level records managers in the city. I off-handedly suggested that the Cartagena and Bogota supervisors arrange a dinner "meeting" with others in the Bogota area that might be interested in "talking shop."

The next thing I knew, I was receiving a call from senior management asking me who was going to pay for the "event" in Bogota, and "didn't I think it was a bit premature to be extending an invitation to tour their offices (not to mention security problems with such an invitation)?" How my instructions were interpreted to mean touring our offices, I haven't a clue. I later learned that networking is not a common concept. Jobs are scarce, and people sometimes feel threatened to "share" on that level.

Such problems plagued the entire project and consumed a great deal of time to clarify, confirm, and correct. The use of interpreters for major meetings became a necessity and was the one area where the client was not pleased with the additional cost.

SOCIAL CONVENTIONS

My experiences with language and social convention differences could fill a book. All were interesting, only a few were more than mildly frustrating, the majority were humorous. Because I am invariably asked how I was received as a female "boss," I feel compelled to say a few words on the subject. Most people from the states presumed that my gender would be a difficulty. As with many other pre-conceived or presumed "notions," that one proved invalid.

In fact, I found the visibility of educated, professional women was probably proportionately higher in Colombia than in the U.S. This might be attributed to the fact that the need for educated professionals in Colombia outweighs the gender considerations. I do not mean to imply that there were not gender and race conventions at play both on and off the project. Rather, it acknowledges that education is definitely a prized attribute.

POLITICAL OBSERVATIONS

NATIONALISM

The hand of politics and national pride could be felt daily. This worked both for and against our efforts. When the person we were dealing with had previous good experiences with "gringos," things went smoothly. When the opposite was true, progress was more difficult. It seemed that the lower down the management ladder, the greater the potential for tension.

Of course, some tension is normal on any project, and has nothing to do with nationalism. For instance, there is often tension, usually healthy, between bosses and subordinates. Also, consultants frequently encounter some degree of resentment from in-house personnel. In fact, company supervisors on this project were well educated and considered themselves capable of handling the project without outside help. The fact that we did not sense any resistance from the clerical staff seems to validate that observation. (It should be noted that the clerks were extremely pleased to be part of the project. They were eager to learn and accepted new concepts without reservation.)

However, the degree of tension on this assignment was higher than any other I have encountered. I've learned to trust my instincts. The resistance to change, and personality differences we encountered, in my opinion, were greatly accentuated by national pride. The resistance we had to work around would have perhaps been true for any foreign national manager in this situation, but I feel the strain between the United States and Colombian governments made it especially difficult for those of us coming from the United States.

INTERNAL POLITICS

Corporate politics appear to thrive all over the world. They were certainly at play in the project. The internal selection of supervisors to be part of the project was clearly affected by personal and/or political preferences. The consultants were aware of at least one person at the supervisory level who had expressed a strong desire to be on the project and who appeared to be highly experienced with strong aptitude. That person was never considered.

Here again, there is a plethora of examples I could share. Suffice it to say the internal politics of this organization are no different than that of any large size organization in North America. The project was affected by this.

Another area of internal politics involved the dynamics of the project team. For a project of this magnitude, complexity, and importance, the ideal project "team" would have worked together on other assignments prior to starting this one. They would have been free of distractions, comfortable with one another, and comfortable with the project approach and methodology. In the original plan, the consultants and client staff would have had time to "build" themselves into a cohesive and highly efficient team.

As it was, the two "gringos" were also "green-go's" i.e.: novice international travelers. We were "fresh off the boat," separated from our families, strangers to one another, and subcontracting for the first time with this particular consulting firm. Two of the client supervisors were also new to their locations, as part of a company reorganization. One supervisor had just been promoted to her position. The clerks were also strangers to one another and to the supervisors. Suffice it to say we were not the strongest of teams.

PROJECT SPECIFIC CHALLENGES

There were three specific challenges to this project which would not have existed if the project had been conducted in a more technologically developed country. All dealt with finding supplies and services at an acceptable "standard" of quality. This should not be interpreted as a criticism of the innate ability of the Colombian people. Rather, it acknowledges the varying degrees of experience, educational, and technological resources available within the country at this point in time.

FOLDERS AND LABELS

We toured three companies in Bogota to select a vendor to supply top/side tab folders and color coded labels. While all three companies made their folders "by hand," only two of the companies produced products with an acceptable level of quality. The company we selected had a higher degree of technological sophistication, including the importation of press board material and the use of high speed equipment. Their product had a slightly better appearance than the others, and we believed they had a greater ability to provide higher volumes on shorter notice.

INACTIVE STORAGE SERVICES

Two inactive records service bureaus were interviewed. Both had drawbacks. Company A (which the client was using at the time) was located in a "bad" section of Bogota. External and internal security were issues. The building was small and had been converted from what appeared to have been a home at one time. One could see daylight through the ceiling. It was a safe bet that water could enter the same way light did.

Company B, on the other hand, was a new and modern warehouse facility. The staff appeared to be more sophisticated and applied standard safety regulations, i.e. hard-hats, wide aisles, etc. Unfortunately, it was also a warehouse for other types of products. Immediately adjacent to the records storage area (separated only by a fenced partition) we found highly flammable fertilizing chemicals. The volume of chemicals in that one area, if ignited, would have created an immediate inferno. That says nothing of the possible "hazardous" waste considerations, given the concentrated volume of the chemical.

The short term decision was to leave the boxes with Company A and continue to evaluate Company B.

VITAL RECORDS PROTECTION

Vital records provided a most unusual dilemma. None of the three office locations are acceptable for storing vital records. Bogota sits on a fault. (It incurred an earthquake during the project.) Neiva, which has the best climate and geography of the three locations, is highly prone to terrorist activity. (The office was "seized" by an irate community at one point during the project. Then, while Bogota was recovering from the earthquake, terrorists took advantage of the opportunity to bomb a pumping station adjacent to the administrative offices.) Cartagena has an extremely poor climate for paper--high humidity with a correspondingly large number of insects that enjoy turning paper into powder.

The Bogota office had been designated as the office of record for official documents. This decision was based on the fact that Governmental agencies are also located in Bogota. Another determining factor was that the cool climate was better for paper than the high humidity levels of Cartagena.

The client was planning to use microfilm as a vital protection medium. The plan was to store the microfilm in an air conditioned bank vault in Cartagena and keep the official hard copy in Bogota.

PROJECT RESULTS

On the whole, this project was a success. In spite of the obstacles, the objectives were met, and met reasonably close to the deadline. I marvel at what we were able to accomplish, under not always ideal circumstances, in such a short period of time. The company now has at least six employees exposed to and at least familiar with the fundamentals of records management. They have a model file structure, an approved retention schedule, an inactive records center, and a vital records program. They have policies and procedures for maintaining all of the above. In short, they have all the tools they need to continue.

Ideally, we would have stayed longer to provide a stronger experience base for the staff. Remember, the original recommendation was to implement the program over a 28-month period. I still think that would have been better. At the end of the 24th month, the client would have had a dedicated staff with two years of hands-on training and experience, managing a program that would have been "sold" and implemented in all the departments. An additional four months would have been allocated to auditing the program, and making final refinements to systems, procedures, and staff training. Obviously the employees were not able to attain that level of mastery over the records management program in six months. However, they have a good start, and the desire and ability to continue.

The best news is that management recognized the need for a records management program. They invested time and money to hire a quality consulting team and they assembled a highly capable staff. As is the case here in the states, it will take some time for them fully to realize and accept that a comprehensive records management program takes time to develop and implement. The ultimate success of this project depends on the same factor as all records management projects anywhere in the world--management support.

SUMMARY

Every project, no matter how large or small, no matter when or where, or for whom, has a certain percentage of frustrations and problems. The rewards (both professional and personal) gained during this project far out-weighed the challenges. My advice to those who might be in a position to undertake such a venture:

* Be open minded. Contemplate how, as a person from a particular country, you will be received in the country you will be visiting, but try not to make any assumptions. Don't carry too many zealous ideas such as chartering an ARMA International chapter during the first six months!

* Prepare yourself as much as possible by learning the language and spending time, if at all possible, in the country. If that is not an option, seek out people from the country and spend time with them. You can never learn enough about the cultural differences. Reading alone does not give you enough understanding. You should question what you do read, as it may carry the author's prejudice. It would be wonderful if there were a larger pool of records management professionals who were willing to share their knowledge of other countries. This project would have run far more smoothly if the consultants had been better prepared at the beginning.

* Be prepared to work with employees who possess widely varying levels of experience and training. You will probably have to work with the personnel you are given. Be prepared to teach. Be prepared for countless delays, retraining, and diplomatically restructuring of the project organization as politics allow--all within the original project timeline.

* Be realistic about what the clients need to understand and absorb within the project period. Some of the principles of records management cannot be embraced in a short period of time. Other concepts cannot be embraced at all by theory alone; only practice and repetition solves that problem.

* Clarify and confirm all aspects of the project. Assumptions need to be clearly written in the project plan and verbally communicated until all parties come to a complete and MUTUAL understanding of terminology, realistic outcomes, and critical project requirements.

* Never, never, never assume you understand the true meaning of what is being said or that the client understands the true meaning of what you are saying --unless you speak the language FLUENTLY and know its particular nuances.

This was one of the richest experiences of my professional and personal life. People invariably ask one of three questions about my stay in Colombia. "Are there really chickens running around the airport, like in Romancing the Stone?" "Don't you know they are killing people over there--how many times did you get shot at?" "Really--and just how much dope did you bring back?"

My answers. The only things "running" around the airport are tourists who have just arrived and have not yet figured out that they should slow down before they faint from heat exhaustion. I was in far less danger there than home in Denver, where the gangs are trying to stake out their territory. And finally, everything I brought back was legal, and hard earned, including the incredibly rich personal and professional experiences. I would do it all again in a North American minute!

PROJECT PLAN

PHASE 1. PROJECT PREPARATION

1.1 Issue awareness memo

1.2 Confirm/select records management staff

1.3 Define records to be inventoried

1.4 Define records locations

1.5 Gather all existing records listings and create inventory form

1.6 Develop inventory and implementation work programs

1.7 Develop standardized inventory abbreviations thesaurus

1.8 Obtain departmental management approval

1.9 Train inventory staff

PHASE 2. RECORDS INVENTORY

2.1 Physically inventory records

2.2 Enter inventory data into PC and generate reports

2.3 Submit reports to users for initial review

2.4 Obtain user authorization to retain, send to storage or destroy

2.5 Send inactive records to storage and update database

2.6 Generate report of active records for analysis

2.7 Produce progress report

PHASE 3. ANALYSIS AND DESIGN

3.1 Conduct analysis interviews with users and supervisors

3.2 Design uniform file structure

3.3 Produce sample records listing from uniform structure

3.4 Identify vital records

3.5 Produce vital records listing for approval

3.6 Review equipment, supplies, space and security for active and inactive areas

3.7 Develop specifications for new floor plans, equipment, supplies and security

3.8 Compile and submit draft file listings to create labels

3.9 Develop and submit retention schedule for approval

3.10 Prepare draft records management structure and manual

3.11 Present new systems and procedures for departmental management review

3.12 Obtain approval for new systems and procedures

3.13 Produce progress report

PHASE 4. SYSTEMS CONVERSION

4.1 Confirm new systems locations

4.2 Finalize conversion timetable

4.3 Issue awareness memos

4.4 Order all supplies, equipment

4.5 Classify all documents and create labels

4.6 Transfer vital records for microfilming

4.7 Reorganize files in new order and location

4.8 Establish filing policies and procedures

4.9 Replace vital records after filming and classification to new system

4.10 Produce progress report

PHASE 5. COMMISSIONING

5.1 Issue departmental filing lists

5.2 Perform user training

5.3 Issue records manual

5.4 Confirm records staffing

5.5 Issue retention schedule

5.6 Issue vital records program

5.7 Advise users of audit program

5.8 Retrain users

PHASE 6. SYSTEM/PROCEDURES AUDIT

6.1 Confirm user requirements are being satisfied

6.2 Review uniform classification structure

6.3 Review retention schedule

6.4 Review vital records program

6.5 Review policies and procedures manual

6.6 Review staffing requirements

6.7 Prepare audit report

6.8 Review audit report with management

6.9 Action audit recommendations following management approval

Vicki Betton, CRM, is the President and Senior Records Management Consultant of Betton Management and Consulting. She has over twenty years of experience in Records Management, spanning a multitude of industries and governmental agencies with titles ranging from records analyst to corporate records and information manager. As a Certified Records Manager (CRM) and consultant, she has developed records programs for all sizes and types of organizations in the United States, Canada, and South America.

As an active ARMA International member, Vicki has served at both the Association and chapter levels. It was under her leadership as President that the Denver Chapter won the Chapter-of-the-Year award in 1982-83. She was Chapter Member of the Year in 1984. She has also served the profession as Regent for the Institute of Certified Records Managers (ICRM).

Vicki is an experienced speaker on a wide variety of information management topics She has lectured at colleges as well as for seminars and associations on the local and international level. Her work has also appeared in the Records and Retrieval Report.

Copyright Association of Records Managers Administrators Inc. Jan 1994
Provided by ProQuest Information and Learning Company. All rights Reserved