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What are the consequences of not having a records management policy in place?

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Records management is the process of creating, storing, accessing, and disposing of records in a systematic and efficient way. Records are any documents, files, or data that provide evidence of an organization's activities, decisions, or transactions. A records management policy is a set of rules and guidelines that define how records are created, maintained, accessed, and disposed of in an organization. A records management policy is essential for any organization that deals with sensitive, confidential, or legal information, such as case management. In this article, we will explore some of the consequences of not having a records management policy in place, and how to avoid them.

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1 Legal risks

One of the most serious consequences of not having a records management policy in place is the legal risks that it poses. Records are often required as evidence in legal disputes, audits, investigations, or compliance issues. If records are not properly created, stored, accessed, or disposed of, they may be lost, damaged, corrupted, or tampered with. This can result in legal liabilities, fines, penalties, or sanctions for the organization. For example, if a case manager does not keep accurate and complete records of a client's case, they may face legal action from the client, their family, or other parties involved in the case. To avoid legal risks, a records management policy should define the legal requirements and obligations for creating, storing, accessing, and disposing of records, and ensure that they are followed consistently and transparently.

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Mary Lee Murray

Office Professional
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The company's strength is in our consistency. We, as Records Managers must have an ironclad process that doesn't waver from policy and procedure. We are not accountants, but we think like accounts. Every document must be accounted for and trackable and available at the tips of our fingers when a professional staff member needs access. I documented every single legal document I scanned. I didn't want that call form SIMON Legal saying page 21 of that lease agreement was missing from the scan. I knew exactly all of my batch numbers. I quick checked and quick checked. I sent these documents to offsite storage AFTER I had documented everything that was in that box in our vendor's site.

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Anne Mary K. Montero

Medical Director at Indiana University Health, Behavioral Health, IU Health North Hospital
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Well said! Records management should flow naturally from good clinical practice, keeping accurate track of what occurred and protecting client confidential information with appropriate stewardship…With acknowledgment to all the team members and clinicians who help keep these critical processes in place-we thank you!

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Steffen Poehler

Head of Transactional Services @ Royal Surrey NHS Foundation Trust | Process Owner for Finance Transactional Services
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Agree in principle, but don't forget about mundane things like version control, documented approvals when needed, updates after major system or legal changes, periodic reviews just to ensure subtle changes to working practices are captured. Do make the effort to involve your audit team in critical processes. A good relationship ensures they act as advisors, prevent oversights and probably make sign off easier in the process. Happy to provide basic reviews or opinion on process related matters, contact me through LI.

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2 Operational inefficiencies

Another consequence of not having a records management policy in place is the operational inefficiencies that it causes. Records are essential for the smooth and effective functioning of any organization, as they support decision-making, communication, collaboration, and performance. If records are not properly created, stored, accessed, or disposed of, they may be difficult to find, retrieve, or use. This can result in wasted time, resources, and money, as well as errors, delays, or misunderstandings. For example, if a case manager does not have a clear and consistent way of creating, storing, accessing, or disposing of records, they may spend more time looking for information, duplicating work, or correcting mistakes, than focusing on their clients' needs. To avoid operational inefficiencies, a records management policy should define the operational standards and best practices for creating, storing, accessing, and disposing of records, and ensure that they are followed efficiently and effectively.

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Mary Lee Murray

Office Professional
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And I apologize for my typos...but when you are passionate about records management, it's because it serves your work ethic and need for consistency and structure and organization.

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Ulrich Beliby , CIP / CDP

Records Management Assistant, Information Disclosure @ African Development Bank Group | Knowledge Management, Analytical Skills
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The absence of a records management policy can result in a range of adverse effects for an organization, including disorganization of information, increased legal and compliance risks, data security breaches, heightened operational costs, potential loss of intellectual property, hindered decision-making, and impaired business continuity and disaster recovery capabilities. To prevent these consequences, it is crucial for organizations to develop and implement a robust records management policy that addresses the orderly creation, retention, storage, and disposal of records, aligns with legal requirements, and ensures data security and accessibility.

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3 Security breaches

A third consequence of not having a records management policy in place is the security breaches that it exposes. Records often contain sensitive, confidential, or personal information, such as case management data. If records are not properly created, stored, accessed, or disposed of, they may be vulnerable to unauthorized access, use, disclosure, or theft. This can result in security breaches, data breaches, or identity theft, which can harm the organization's reputation, trust, and credibility, as well as the privacy and safety of the clients and stakeholders. For example, if a case manager does not have a secure and reliable way of creating, storing, accessing, or disposing of records, they may expose their clients' information to hackers, competitors, or malicious actors. To avoid security breaches, a records management policy should define the security measures and controls for creating, storing, accessing, and disposing of records, and ensure that they are followed securely and responsibly.

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Kennedy C.

I'm helping Veterans get awesome post military careers!
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One of the key things in security and records management that needs to change are the release of information requests and practices. I state this because it can be easy for certain people (e.g., former husband and wife) to access the individuals records and can be used against one a other. Also, release of information request should be put into a centralized system across multiple CMS platforms when a federal or state agency performs similar functions to the client. Sometimes it is hard to obtain necessary information and disrupts services to assist clients.

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4 Cultural issues

A fourth consequence of not having a records management policy in place is the cultural issues that it creates. Records are not only a source of information, but also a reflection of the organization's values, culture, and identity. If records are not properly created, stored, accessed, or disposed of, they may be inconsistent, inaccurate, or incomplete. This can result in cultural issues, such as a lack of trust, accountability, or transparency, among the organization's staff, clients, and stakeholders. For example, if a case manager does not have a common and shared way of creating, storing, accessing, or disposing of records, they may create confusion, conflict, or misalignment, among their colleagues, managers, or partners. To avoid cultural issues, a records management policy should define the cultural expectations and norms for creating, storing, accessing, and disposing of records, and ensure that they are followed respectfully and collaboratively.

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Steffen Poehler

Head of Transactional Services @ Royal Surrey NHS Foundation Trust | Process Owner for Finance Transactional Services
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Glad organization's values and culture are mentioned here. The language chosen and detail provided will determine if staff less familiar with the subject understand and therefore influence their ability to practice what's asked/expected of them. Ensure updated documentation, policies, etc. are notified to all staff through internal Comms.

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5 Competitive disadvantages

A fifth consequence of not having a records management policy in place is the competitive disadvantages that it leads to. Records are not only a way of documenting, but also a way of learning, improving, and innovating. If records are not properly created, stored, accessed, or disposed of, they may be outdated, irrelevant, or useless. This can result in competitive disadvantages, such as a loss of market share, customer satisfaction, or competitive edge, for the organization. For example, if a case manager does not have a smart and strategic way of creating, storing, accessing, or disposing of records, they may miss out on opportunities, insights, or trends, that could help them serve their clients better, or differentiate themselves from their competitors. To avoid competitive disadvantages, a records management policy should define the competitive goals and objectives for creating, storing, accessing, and disposing of records, and ensure that they are followed intelligently and creatively.

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6 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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Johan Boomsma

Adjunctcommies Archief
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Well there will be the risk of not being compliant with laws and regulations. Especially governmental organisations have to deal with this; for example laws regarding archiving and transparency.

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What are the consequences of not having a records management policy in place?

1

2

3

4

5

6

1 Legal risks

2 Operational inefficiencies

3 Security breaches

4 Cultural issues

5 Competitive disadvantages

6 Here’s what else to consider

Case Management

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What are the consequences of not having a records management policy in place?

1

2

3

4

5

6

1 Legal risks

2 Operational inefficiencies

3 Security breaches

4 Cultural issues

5 Competitive disadvantages

6 Here’s what else to consider

Case Management

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