A Case Study in Failure (and Triumph!) from the Records Management Perspective

By Sarah Dushkin

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This is the sixth post in the bloggERS series #digitalarchivesfail: A Celebration of Failure.

I’m the Records Coordinator for a global energy engineering, procurement, and construction  contractor, herein referred to as the “Company.” The Company does design, fabrication, installation, and commissioning of upstream and downstream technologies for operators. I manage the program for our hard copy and electronic records produced from our Houston office.

A few years ago our Records Management team was asked by the IT department to help create a process to archive digital records of closed projects created out of the Houston office. I saw the effort as an opportunity to expand the scope and authority of our records program to include digital records. Up to this point, our practice only covered paper records, and we asked employees to apply the paper record policies to their own electronic records.

The Records Management team’s role was limited to providing IT with advice on how to deploy a software tool where files could be stored for a long-term period. We were not included in the discussions on which software tool to use. It took us over a year to develop the new process with IT and standardize it into a published procedure. We had many areas of triumph and failure throughout the process. Here is a synopsis of the project.

Objective:
IT was told that retaining closed projects files on the local server was an unnecessary cost and was tasked with removing them. IT reached out to Records Management to develop a process to maintain the project files for the long-term in a more cost-effective solution that was nearline or offline, where records management policies could be applied.

Vault:
The software chosen was a proprietary cloud-based file storage center or “vault.” It has search, tagging, and records disposition capabilities. It is more cost-effective than storing files on the local server.

Process:
At 80% project completion, Records Management reaches out to active projects to discover their methods for storing files and the project completion schedule. 80% engineering completion is an important timeline for projects because most of the project team is still involved and the bulk of the work is complete. Records Management also gains knowledge of the project schedule so we can accurately apply the two-year timespan to when the files will be migrated off the local server and to the vault.  The two-year time span was created to ensure that all project files would be available to the project team during the typical warranty period. Two years after a project is closed, all technical files and data are exported from the current management system and ingested into the vault, and access groups are created so employees can view and download the files for reference as needed.

Deployment:
Last year, we began to apply the process to large active projects that had passed 80% engineering completion. Large projects are those that have greater than 5 million in revenue.

Observations:
Recently we have begun to audit the whole project with IT, and are just now identifying our areas of failure and triumph. We will conduct an analysis of these areas and assess where we can make improvements.

Our big areas of failure were related to stakeholder involvement in the development, deployment, and utilization of the vault.

Stakeholders, including the Records Management team, were not involved in the selection or development of the vault software tool. As a result, the vault development project lacked the resources required to make it as successful as possible.

In the deployment of the vault, we did not create an outreach campaign with training courses that would introduce the tool across our very large company. Due to this, many employees are still unaware of the vault. When we talk with departments and projects about methods to save old files for less money they are reluctant to try the solution because it seems like another way for IT to save money from their budget without thinking about the greater needs of the company. IT is still viewed as a support function that is inessential to the Company’s philosophy.

Lastly, we did not have methods to export project files from all systems for ingest into the vault; nor did we, in North America, have the authority to develop that solution. To be effective, that type of decision and process can only be developed by our corporate office in another country. The Company also does not make information about project closure available to most employees. A project end date can be determined by several factors, including when the final invoice was received or the end of the warranty period. This type of information is essential to the information lifecycle of a project, and since we had no involvement from upper level management, we were not able to devise a solution for easily discovering this information.

We had some triumphs throughout the process, though. Our biggest triumph is that this project gave Records Management an opportunity to showcase our knowledge of records retention and its value as a method to save money and maintain business continuity. We were able to collaborate with IT and promulgate a process. It gave us a great opportunity to grow by harnessing better relationships with the business lines. Although some departments and teams are still skeptical about the value of the vault, when we advertise it to other project teams, they see the vault as evidence that the Company cares about preserving their work. We earned our seat at the table with these players, but we still have to work on winning over more projects and departments. We’ve also preserved more than 30 TB of records and saved the Company several thousands of dollars by ingesting inactive project files into the vault.

I am optimistic that when we have support from upper management, we will be able to improve the vault process and infrastructure, and create an effective solution for utilizing records management policies to ensure legal compliance, maintain business continuity, and save money.

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Sarah Dushkin earned her MSIS from the University of Texas at Austin School of Information with a focus in Archival Enterprise and Records Management. Afterwards, she sought to diversify her expertise by working outside of the traditional archival setting and moved to Houston to work in oil and gas. She has collaborated with management from across her company to refine their records management program and develop a process that includes the retention of electronic records and data. She lives in Sugar Land, Texas with her husband.

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