What do finance, healthcare, and great chess players have in common? Each relies on “structured problem solving”—a systematic approach to identifying, analyzing, and resolving complex issues—to overcome their thorniest challenges.
In a world of rapidly growing data volumes, complex regulations, and vexing data privacy and cybersecurity concerns, records and information management (RIM) professionals should adopt the same approach.
Structured problem solving offers a clear, logical framework for tackling intricate issues. In finance, it helps manage investment risks and optimize portfolios. In healthcare, it supports accurate diagnoses and effective treatment plans. Chess players use it to plan their moves and counter their opponents. For RIM professionals, structured problem solving can streamline the creation and revision of records management programs, ensuring they safeguard information and help propel the business forward.
One of RIM’s greatest challenges is a lack of structure. Poor RIM practices lead to important documents buried in email threads, outdated policies in forgotten drives, and retention rules being inconsistently, if ever, applied. A smarter approach treats RIM as a solvable problem, not a bureaucratic chore. Structured problem solving can transform RIM from a challenge into an opportunity, removing much of the uncertainty and complexity that surrounds creating or revising an organization’s RIM program. Let’s explore how to apply it in practice.
Applying Structured Problem Solving to RIM Challenges
At its core, structured problem solving involves five key steps. Think of it as your trusty five-step dance to turn RIM chaos into a well-choreographed performance.
Step 1: Defining the Problem
The first step in structured problem solving is to define the problem clearly. A well-defined problem lays the foundation for effective solutions, making the time spent on this step invaluable. Precision cuts through ambiguity, ensuring stakeholders stay aligned rather than talking past one another. Many RIM programs fail due to vague problems statements like, “we lack a structured system and disposal process for managing records and information, which is creating inefficiencies and compliance risks.” Such statements offer little clarity or direction. Contrast this with a more precise definition:
Without a centralized RIM framework, our organization faces inconsistent data governance, regulatory risks, and inefficiencies. Currently, 75 percent of departments manage records independently, causing duplication and retention gaps. Forty percent of employees struggle to find critical information, delaying decisions and increasing costs. Recent audits flagged compliance failures in multiple regions, exposing us to legal and financial risks.
A well-defined problem is a problem half-solved. By pinpointing root causes and quantifying their impact, organizations can more beyond vague concerns to targeted, effective solutions.
Step 2: Breaking Down the Problem
With a clear problem definition, the next step is to break it down into its logical components. Using our problem statement from step 1, we might identify the following sub-issues:
- Inconsistent governance practices. With most department managing records independently, we face a governance issue. A master RIM policy to complement our retention schedule must be part of the solution.
- Knowledge and training deficiencies. Nearly half of employees are unable to locate information, pointing to a lack of training on records storage and retrieval practices. This deficiency must be addressed in our revised RIM program.
- Noncompliant retention processes. Audits have revealed retention gaps, suggesting our retention policies are not uniformly understood. We need to revise our retention schedule to ensure it’s comprehensive and up-to-date, particularly when it comes to evolving data privacy laws and industry-specific regulations.
By dissecting the problem into smaller, manageable pieces, you gain a clearer understanding of the root causes and how they interconnect. This approach helps ensure solutions are not only targeted but also comprehensive, addressing the underlying issue rather than only symptoms.
Step 3: Prioritizing Components
Once the problem is broken down, the next step is to prioritize which components to address first. For RIM, this involves evaluating each sub-issue based on its impact on compliance, operational efficiency, and data security. For instance, noncompliant retention processes might take precedence if they expose the organization to regulatory and legal risks. Inconsistent governance practices should be prioritized, as a lack of central oversight can cause inefficiencies and compliance gaps. Finally, addressing knowledge and training deficiencies will improve operational efficiency and information retrieval, but may be secondary to ensuring compliance and governance are firmly in place.
Prioritizing these sub-issues ensures efficient resource allocation, addressing the most critical areas first.
Step 4: Developing a Plan of Action
With priorities established, the next step is to develop a detailed plan of action to carry out your components. This plan should outline specific steps, required resources, and anticipate potential obstacles and solutions. Establishing a timeframe for each phase helps ensure the process remains on track and measurable.
For instance, updating the retention schedule will require collaboration with legal and compliance teams to confirm alignment with evolving data privacy laws and industry regulations. Department heads and subject matter experts will also need to provide input to ensure the schedule meets their areas’ unique needs. This process will involve legal expertise to ensure compliance and IT support to update the relevant systems. Project management tools will be helpful in tracking progress and ensuring everyone stays on task.
This phase should take about six to eight weeks, depending on the complexity of regulatory updates and how quickly departmental stakeholders can be coordinated. It’s important to set a clear deadline for completion to maintain momentum and avoid delays.
One obstacle to anticipate is resistance from departments that are accustomed to their own systems and practices. To overcome this, clearly communicating the updated retention schedule’s benefits—such as reduced compliance risk and greater operational efficiency—will be necessary. Framing change in terms of long-term advantages will help build buy-in and make the transition smoother. And collaborating with department SMEs along the way will help create allies who will champion your plan.
Step 5: Go Forward
With your plan in place, it’s time to move forward. However, it’s important to remember no project is ever perfectly linear. As you begin putting your plan into action, you will inevitably encounter obstacles or changes that require adjustments. The key is to stay mindful of what’s working and what isn’t, and to remain flexible as the process evolves.
Start by regularly reviewing your progress. This doesn’t just mean checking off completed tasks; take time to reflect on what you’ve achieved, what you’ve learned, and what still needs to be done. Also keep a close eye on the initial phases of implementation, as this is where many issues or inefficiencies often surface. A pilot phase is often helpful working out bugs.
Ultimately, the goal is not just to complete the tasks on the list, but to create lasting change that improves your RIM program. By staying mindful of progress, reflecting on lessons learned, and adjusting the plan as necessary, you will ensure the process is not just a series of steps, but a meaningful transformation. Your end goal is to embed change within the organization’s practices and culture.
From Complexity to Control
Managing an organization’s records and information is no small task. But by applying structured problem solving, organizations can shift from disorganized, inefficient systems to a well-defined, manageable program.
Ultimately, the key takeaway from finance, healthcare, and chess is simple: thoroughly defining your problems, breaking them down into manageable chunks, and creating a detailed plan of action is effective in many contexts—including RIM program development. With a structured approach to problem solving, organizations can better manage their information and remain more adaptable in an ever-evolving landscape.
Disclaimer: The purpose of this post is to provide general education on information governance topics. The statements are informational only and do not constitute legal advice. If you have specific questions regarding the application of the law to your business activities, you should seek the advice of your legal counsel.