Principles for updating your information program.

• Author: Gable, Julie
• Position: THE PRINCIPLES: GENERALLY ACCEPTED RECORDKEEPING PRINCIPLES[R]

Revising a records management program can be as straightforward as editing a few retention schedules or as complex as changing the organization's information management culture. Some revision projects, especially those whose goal is to extend the records program into information governance (IG) territory, will feel more like a total revamp than a simple revision. In cases where records are to be produced and maintained electronically, program revision may entail a review of business processes as well as of the systems' capabilities.

Program revision may be stipulated by company policy; for example, it may require a routine review of retention schedules every 18 months to ensure that retention rules are up to date. Program revision may also be the result of external issues, such as new regulations, or it may be a response to internal changes, such as new reporting structures or management changes.

Regardless of the reason for program revision, the Generally Accepted Recordkeeping Principles[R] (Principles) and the Information Governance Maturity Model (IGMM) are useful resources for approaching this work. The Principles identify how work on fundamental elements affects the overall fabric of the program and, conversely, how high-level program demands influence what must be done at the records level.

Conceptualizing the Principles

Doing program revision tasks can sometimes feel like going in circles, but revisions in one aspect of a records program often have benefits for other aspects. This is because, although they are presented as separate and distinct concepts, the Principles are inter-related.

Program-related Principles

Figure 1, "Program- and Records-related Principles," shows the Principles as two groups. At the top, the Principles of Compliance, Accountability, and Transparency can be thought of as all-encompassing because they establish standards for the development, documentation, and context of the entire program. Like the primary colors of red, blue, and yellow, their essence does not change. They influence program success or failure because they give shape to the whole program.

For a summary of these Principles, see Table 1, "Program-related Principles."

Records-related Principles

In the lower half of Figure 1 are the Principles that relate to the records themselves: Integrity, Protection, Availability, Retention, and Disposition. These are the elements that must be considered for every record type. They can be adjusted for greater or lesser intensity depending on what is needed for a specific circumstance. They give specific directions for the records governed by the program and are summarized in Table 2, "Records-related Principles."

Two case studies illustrate how the Principles can guide information professionals through little program tweaks or major overhauls.

Case Study: Teagan Foods' Program Revamp

Teagan Foods produces several lines of canned and frozen foods for the U.S. and international markets. It operates processing plants in several states, using domestic crops as well as raw materials imported from Canada, Mexico, and Argentina.

The company comes under scrutiny from the U.S. Department of Agriculture, and as a publicly traded corporation it must comply with SEC regulations, plus all federal, state, and local tax codes. As a manufacturer, the company must also comply with environmental laws, labor laws, and health and safety requirements.

Describing the Current Program

Teagan has a records program that includes policies, retention schedules, and procedures, but it is more than 20 years old and was developed around paper records. Many processes--from ordering materials to monitoring processing operations--have become electronic, but these are not reflected in the existing...