Does Your RIM Program Need a Strategic Alignment?

©2007. ARMA International, www.arma.org July/August 2007 • The Information Management Journal 3 5

Does Your RIM Program Need a

Strategic Alignment?

With compliance and litigation concerns raising the profile for records

management, records professionals have a prime opportunity to help

evaluate and align business processes to meet organizational goals.

Alan A. Andolsen, CMC, CRM

ver the past two decades, there has been an increasing focus on the concept of strategic alignment. It has arisen from two viewpoints: focus on the cus-tomer and the need to unify disparate technology. The focus on the customer has been, beyond a doubt, the primary driver for the implementation of the strategic alignment focus in organiza-tions. Customers, whether internal or external, are seen as the reason for the existence of the organization. Satisfying the needs of customers helps to define the structure, processes, products, and values that an organization needs to cre-ate and foster to be successful.

No less important in the age of com-puterization is the ability to structure technological resources so they support this customer-based focus. This is not merely an effort to streamline software applications or to implement enterprise resource planning. Rather, it is both the leveraging of existing resources and the judicious planning for future technolo-gies aimed at achieving the goals that are derived from customer-centered objec-tives.

For the most part, records and infor-mation management (RIM) has been an innocent bystander of this ongoing movement. Only accidentally has records management been a

At the Core

This article

Defines strategic alignment Discusses how to align RIM pro-gram goals with the organization’s goals

Describes the process-driven approach to strategic alignment

O

that is no longer an acceptable situation. With the increasing recognition of the importance of good RIM – especially driven by the effects of poor regulatory compliance and litigation – records man-agers have an excellent opportunity to become active participants in the organi-zation’s strategic alignment efforts. Strategic Alignment Defined

So, what is strategic alignment? Simply, strategic alignment is the link between an organization’s overall goals and the goals of each of the units that contribute to the success of those overall goals. At the core, it means that records managers must look at both the short-term and long-term objec-tives of the records management program in the context of the orga-nization’s customer-centric focus. This should be a dynamic process with a quar-terly or annual review of the goals of the records management program in the context of the changing strategy of the organization.

Understand the Strategy

To ensure that the records manage-ment program’s goals are truly in align-ment with the overall organizational strategy requires a serious effort on the part of the records manager to under-stand all aspects of the strategy. One

helpful way to understand the overall context of strategic alignment is the fol-lowing sequence:

Market Conditions Strategy Values Organizational Structure Systems Staff Style

In this model, presented by Richard Seaman in a 1995 Compensation and Benefits Review article, the records man-ager must understand the market condi-tions facing the organization. From that perspective, it should be relatively

assigned responsibilities? If not, the first order of business should be to fully document all the records man-agement processes and link them to specific functions (not individuals) responsible for their accomplish-ment.

• Who is adding value? This is a key

element in the strategic alignment exercise. The records manager must be able to document how people, functions, processes, and such sim-ple tasks as retention scheduling,

organization in mind when creating or modifying records management functions and procedures.

A matrix structure, or a work team approach, is frequently used in strategic alignment efforts to prevent the building of silos, which inhibit communication and often lead to groups working at cross purposes and not in line with the overall goals and values of the organization. Records managers have a unique oppor-tunity to build a network of individuals throughout the organization who

sup-straightforward to see the resulting strat-egy, values, and organizational structure that are required to meet those market conditions. Then records managers need to understand how the company’s sys-tems support the strategy. Finally, the focus turns to staff and the style of oper-ation.

On this last point, the records man-ager can focus on several questions:

• Who is doing what? Are all the

processes of the records manage-ment program clearly mapped with

information storage and retrieval, and the authorized disposition of information add value to the ongo-ing strategic thrust of the organiza-tion. If there is no value added, then that person, function, or process needs to be examined to determine whether there are opportunities for added value. If not, they need to be refocused or eliminated.

• Who blocks adding value? Just as

important is identifying the people, functions, and processes that have a negative impact on the overall goals of the organization, even if they help to achieve the current goals of the records management program. In every case, the records manager needs to have the vision of the overall

port and foster the goals of the records management program. By definition, this should be a matrix organization with coordinators or representatives in all the organization’s functions. Thus, in build-ing the foundation for the effective oper-ation of the records management pro-gram, records managers will be reflecting the overall effort to ensure strategic align-ment.

Another mantra heard in strategic alignment circles is the need for involve-ment across the organization to develop the goals and vision. Again, the records management program can be an excellent reflection of this approach. The effective records manager has learned that the imposition of processes and procedures on various organizational functions sel-dom achieve success. On the other hand, when the records manager takes the time to learn the needs and concerns of each of the areas that the RIM program supports and invites users from those areas to par-ticipate in developing processes and pro-cedures that will be used, the expectations for success are greatly increased.

This is another way of saying that the records manager and the records manage-ment program must be customer-centric. In fact, this is the core focus of the

strate-For the records management program – which is by definition a

service organization – the focus on customers is always an

important element for success.

3 8 The Information Management Journal • July/August 2007 gic alignment effort. For the records

man-agement program – which is by definition a service organization – the focus on cus-tomers is always an important element for success. What the records manager can learn from the strategic alignment process is a clear definition of the differ-ent types of customers the program serves.

First and foremost are the various functions or departments within the organization. Each may have a slightly different set of needs that will require adaptation by the records management program. For example, highly transac-tional functions, such as accounts payable, may require the program to respond quickly to requests for informa-tion. Alternatively, the legal department may expect an exceptionally thorough search for information that is pertinent to an ongoing discovery.

However, these internal customers are not the only ones the records manage-ment program must serve. The strategi-cally focused records manager must also keep in mind the ultimate customers of the organization. The processes and cedures of the records management pro-gram must not prevent the various func-tions or departments from responding to customer needs. For example, an enter-prise records management system that files all information in a single repository but does not have the capability of rapid

retrieval could work against the organiza-tion’s goal of resolving customer queries quickly and promptly.

Process-Driven Approach

Aligning the goals of a records man-agement program with those of the overall organization can be a challenge, but records managers can learn from the multitude of approaches that have been developed to align IT processes to over-all objectives.

One approach that provides an excellent framework for defining and establishing strategic alignment focuses on internal processes as the drivers for creating goals consonant with the corpo-rate objectives. This approach – offered by Christoph Strnadl in a 2006 Infor-mation Systems Management article – works through four layers to achieve strategic alignment: process, information, services, and technology. Customizing it to records management provides a struc-tured focus to align records manage-ment goals with those of the overall organization.

1. Process: The first element of the approach works to optimize busi-ness processes. For RIM profession-als, that means that all records man-agement processes – from inventory to retention scheduling to final dis-position – must ultimately reflect and support the overall strategy. It does this in four ways:

• It ensures that all processes are

clearly and comprehensively defined and documented, with all responsible parties identified and linked to specific processes.

Records managers must ques-tion each and every process to validate that it supports the ulti-mate organizational goals.

• It couples all processes with

per-formance indicators. Each process should have appropri-ate metrics linked to it so the records manager and senior management can verify that the process is contributing to the ultimate goals. Such a perform-ance indicator could be as sim-ple as tracking retrieval request time to ensure that it meets the required response time to satis-fy external customers.

• It clearly specifies when each

process should occur. This takes the defined and measured process and places it among the ongoing activities of the organ-ization.

• It monitors and audits the

pro-cedures over time to ensure that the desired results are achieved. Monitoring activity should occur on a regular quarterly or annual basis, and appraisals should be coupled with both the regular and exceptional audits performed by external or internal auditors.

2. Information: This process-driven approach focuses on the core ele-ment of records manageele-ment – information. Peter Drucker proba-bly said it best when he defined information as “data endowed with relevance and purpose.” Although many of the elements of this com-ponent arise external to records management, the records manager can influence many of these aspects by creating excellent procedures and processes. The information layer includes:

• The assurance that all types of

information are clearly defined and classified. In records man-agement parlance, it means, in

simplest terms, the records retention schedules are complete and up-to-date and that the organization has a standard set of classifications around which to organize its information.

• Sufficient analysis and

under-standing to ensure that the flow of information is unimpeded. Special attention is required to ensure that transitions of

infor-should not be a major challenge. The components of this layer include:

• A comprehensive description of

each of the services offered by the records management pro-gram. This differs from the description and definition of the processes employed by the records management program. In many cases, the same process may be used to accomplish a

the program or a substantial complement, it is part of the cus-tomer-centric focus of strategic alignment to inform them of when and where the services can be requested and will be deliv-ered. Service availability needs to be in line with corporate goals. 4.Technology: The final layer of the

pro-cess-driven approach to strategic

alignment focuses on the technology available to support the overall goals. In particular, it frequently works to leverage existing resources in new ways to achieve specific objectives. This layer is probably the most important layer for the future of records management in any organiza-tion. Without technological support, it is impossible to provide good records management services to an organization. The components of this layer include:

• Comprehensive specifications for

using technology to manage the information under the custody of records management. Most importantly, it means the ability to define the software applica-tions or the enterprise records management system that will augment the personal efforts of the records manager, records coordinators, and individual staff members. Without adequate technological support, no records management program can be successful – particularly for the management of e-mail, files created by desktop applications, and the new requirements for dis-covery demanded by the Federal Rules of Civil Procedure. mation from external to

inter-nal sources are accomplished without delay and avoid errors or modification.

• Information that is clearly and

completely available for deci-sion processes. A key element of strategic alignment is effective decision-making. Records man-agers can be especially helpful in this aspect with their com-prehensive view of the variety of information the organiza-tion maintains and its locaorganiza-tion.

• Preservation of key information

that is important for the ongo-ing and historical management of the organization of business. This element of knowledge management is a natural com-ponent of any records manage-ment program. The key focus will be to ensure that the preservation reflects corporate goals and is adjusted as strate-gies change.

3. Services: This element focuses on services – creating and managing them so they foster the organiza-tion’s goals and do not impede progress. Because records manage-ment is a service organization, this

For the records manager, the challenge is to be a leader and

propo-nent of stategic alignment goals – not just for records management,

but also for senior management, records coordinators, and all staff.

variety of services. The inten-tion here is to make clear to cus-tomers (internal or external) what can be expected from the records management program.

• Demonstrated agreement

be-tween the content and aims of the services offered and relevant stan-dards. Records management is fortunate to have a foundational standard, ISO15489-1 Information and Documentation – Records Management – Part I: General, that provides high-level guidance about the services that should be offered by an effective records management program.

• Specifically defined quality

assur-ance measures and (if appropri-ate) service-level agreements that clearly reflect the overall organization’s goals. These ele-ments allow the records manag-er to measure whethmanag-er the pro-grams and services require modification or improvement to meet service expectations.

• Clearly defined service

availabili-ty. Frequently, records manage-ment programs are limited by a sparse number of staff. Whether there is a single person running

4 0 The Information Management Journal • July/August 2007

References

Campbell, Bruce, Robert Kay, and David Avison.“Strategic Alignment: a Practitioner’s Perspective.” Journal of Enterprise Information Management 18, no. 6, 2005.

Drucker, P.F. “The Coming of the New Organization.” Harvard Business Review 66, no. 1, 1988. Quoted in Marchand, Donald A. Competing with Information: A Manager’s Guide to Creating Business Value with Information Content. Chichester, UK: John Wiley & Sons, 2000.

Edwards, Barbara. “Chief Executive Officer Behavior: the Catalyst for Strategic Alignment.” International Journal of Value-Based Management 13, no 1, 2000. Henderson, J.C. and N. Venkatraman. “Strategic Alignment: Leveraging Information Technology for Transforming Organizations.” IBM Systems Journal 32, no. 1, 1993. ______. “Understanding Strategic Alignment,” Business Quarterly 55, no. 3, 1991. Norden, P. V. “Quantitative Techniques in Strategic Alignment,” IBM Systems Journal 32, no. 1, 1993.

Porter, Michael and Mark Kramer. “Strategy and Society: The Link Between Competitive Advantage and Corporate Social Responsibility.” Harvard Business Review 84, no. 12, 2006.

Seaman, Richard. “How Self-Directed Work Teams Support Strategic Alignment.” Compensation and Benefits Review 27, no. 4, 1995.

Sledgianowski, Deb and Jerry Luftman. “IT-Business Strategic Alignment Maturity.” Journal of Cases on Information Technology 7, no. 2, 2005.

Sledgianowski, Deb, Jerry Luftman, and Richard Reilly. “Development and Validation of an Instrument to Measure Maturity of IT Business Strategic Alignment Mechanisms.” Information Resources Management Journal 19, no. 3, 2006.

Strnadl, Christoph. “Aligning Business and IT: The Process-Driven Model.” Information Systems Management 23, no. 4, 2006.

Alan A. Andolsen, CMC, CRM, is president of Naremco Services Inc., a manage-ment consulting firm founded in 1948 by Emmett Leahy that offers information and records management consulting services. He serves as vice president of the Institute of Certified Records Managers and chair of the Code of Ethics Committee of the Association of Management Consulting Firms (AMCF). He may be contact-ed at [email protected].

• The deployment of

techno-logical resources for records management to reach all appropriate staff members. Records management cannot support the overall strategic alignment goals if its techno-logical support is limited solely to the activities of the records management func-tion and staff. In this com-puter-driven business world, all staff who create and use digital information must have adequate software sup-port to be able to manage information in a structured and effective fashion.

• Technology that is

continu-ously updated. Senior man-agement must understand that the strategic value of information requires that the software and hardware used by a records management program cannot be allowed to become obsolete. Most glaringly, a records manage-ment program cannot match long-term strategic goals if its technology stance does not include the ability to migrate digital information as storage technologies morph. Records managers must work dili-gently to ensure that their technological tools remain up-to-date and, with IT, vali-date that any new software or hardware will promote the goals of both records man-agement and of the overall organization.

Leadership Success

The secret to success in strategic alignment is leadership. It must begin with the CEO or senior management of the organization – but it cannot stop there. There needs to be a cas-cading set of goals from top to bot-tom that are both supportive and complementary. For the records

manager, the challenge is to be a leader and proponent of strategic alignment goals – not just for records ment, but also for senior manage-ment, records coordinators, and all

staff. Because records management touches all aspects of an organization, a records manager can contribute sig-nificantly to achieving both records management and overall goals.