Sometimes, organizations are their own worst enemies when it comes to records management. We may want to blame overly complicated regulations (“it’s not our fault”) or underperforming employees (“it’s the workforce, not the organization!”), but sometimes the problems with records management actually do occur at the organization-level and must be addressed there. Generally speaking, these kinds of self-inflicted wounds often fall into three broad categories: people problems, process problems, and strategy problems.
People Problems: The Knowledge Gap
To be fair, sometimes individual workers – or even group of workers – genuinely do make mistakes or conduct themselves in a less than competent way, no matter what the organization does. However, people-related problems often stem from failures by the organization to adequately educate and lead. These organizational issues can manifest in several ways. For example:
- Lack of Training: Employees might not know how to use records management tools or fully understand the records management process. As a result, critical documents may go unfiled, or information may be improperly stored, leading to compliance issues and data loss.
- Mixed Messages from Leadership: When leadership sends mixed messages about the importance of records management, employees can become confused or demotivated. For instance, if the correct records management procedure takes longer but managers criticize the time spent, employees may prioritize speed over accuracy.
To correct these people-related problems, organizations should invest in comprehensive training programs. These programs should cover not only the technical aspects of records management but also emphasize its importance in compliance, risk mitigation, and decision-making.
Process Problems: The Mother of Inefficiency
Process-related problems often emerge from poorly designed workflows and policies. Simply having a records schedule and related records processes isn’t enough; they must be well-formulated and clearly communicated. Otherwise, process-related issues can create bottlenecks, confusion, and contradictory practices:
- Counter-Productive Workflows: In some cases, organizations enforce workflows that are unnecessarily onerous or overly bureaucratic. These workflows slow down the records management process, discourage compliance, and hinder productivity.
- Poorly Written or Contradictory Policies: Organizations may have policies that are poorly written, ambiguous, or even contradictory. Employees struggle to decipher what is expected of them, leading to inconsistent practices and compliance lapses.
- Conflicting Leadership Instructions: When leaders issue conflicting instructions to their direct reports, it can cause chaos. Employees may prioritize one directive over another, leading to inconsistent records management practices.
To address process-related problems, organizations should conduct a thorough review of their workflows and policies with a focus on streamlining processes, clarifying policies, and ensuring consistency. Engaging employees in the process of refining workflows and policies can also yield helpful insights.
Strategy Problems: The Alignment Challenge
At the strategic level, organizational understanding and use of records management can fall out of alignment with actual practices and intended outcomes. These strategy-related problems can erode the effectiveness of records management efforts:
- Too Many Goals, Too Few Resources: An organization may set ambitious records management goals while simultaneously depriving the records management function of essential resources. This misalignment can hinder the ability to enforce policies and achieve objectives.
- Inadequate Change Management and Communication: When changes are introduced abruptly without adequately preparing employees for the transition, employees may resist the change because they don’t understand its purpose or how to use the new system effectively. This can lead to a lack of compliance, as employees revert to familiar, but outdated, practices. The organization may not realize the full potential benefits of the new system or processes, and records management may suffer.
To correct strategy-related problems, organizations should conduct a holistic assessment of their records management strategy. This includes ensuring that goals are realistic and supported by adequate resources. Leadership should champion the importance of records management and advocate for the allocation of necessary resources.
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