Chapter 14 Managing a RIM Program

RECORDS MANAGEMENTJudith Read and Mary Lea Ginn

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RIM within the InformationGovernance Program

Records and information management (RIM) supports information governance

Organization-wide governance is usually executed by upper-level management that can delegate to lower-level managers

Organizations must implement comprehensive information governance programs to meet their needs

Information governance will affect all departments and lines of business within an organization

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Information Governance

Information governance is the overarching framework within which the RIM program resides

Information governance is a strategic framework Includes standards, processes, roles, and metrics Designed to motivate and hold people

accountable to create, organize, secure, maintain, use, and dispose of information in ways that effectively support the organization’s goals

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The Principles

A RIM program encompasses a variety of responsibilities

By using the Principles, organizations can review and evaluate their information governance practices

They can also Identify areas that do not meet the desired level for

each principle Evaluate the risks to the organization Determine how to further develop their program

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Accountability

The senior executive, as part of the duties and responsibilities of the position, should develop policies and procedures for RIM audits

The audits should focus on user behaviors

The audits should be conducted on a regular basis

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Integrity

An organization’s RIM program policies should clearly state to employees the expectations for honest and ethical behavior at all times

The organization’s policies should also include requirements for the integrity of content in all company communications via physical documents, e-mail, or social media

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Protection

The organization’s records and information policies and procedures should specifically address the protection procedures that must be followed

Records and information protection procedures apply to Official records Confidential and vital records and information

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Compliance

The organization must assume responsibility for all records as they conduct the business of the organization

It must have policies and procedures for documenting compliance with applicable laws, regulations, and requirements

Many organizations have also made adjustments to their policies and procedures to adhere to ISO 15489

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Availability

Organizations should ensure that information Is indexed and retrievable through the use of

taxonomies (indexes) Is managed with policies and procedures to

maintain efficient access and retrieval of information that the organization creates, receives, and stores

Is managed in accordance with established retention periods

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Retention

Organizations should apply their records retention schedules to all records Created, received, and transmitted via postal

mail, fax, e-mail, or social media In a format that preserves the integrity of the

original record and is easily accessible

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Disposition

The organization’s records management, information technology, and legal departments should be aware of the disposition requirements for all records

Disposition requirements include any records residing on social media sites

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Transparency

Organizations should develop policies for conducting the organization’s business Through physical and electronic letters, e-mail

messages, or social media postings In terms of what information is prohibited To require employees who conduct business

through any of these forms to identify their roles in the organization

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Records and Information Manager’sDuties and Responsibilities

The records manager needs to have a variety of skills to Establish goals and objectives for the RIM program Evaluate potential options for facilities Manage the purchase of RIM supplies and

equipment Establish and monitor retention policies and

schedules Manage RIM storage facilities and security and

protection of the organization’s information assets Establish policies and practices for vital records Collect and preserve archival records Control the forms management program

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RIM Program Goals and Objectives

The records manager needs to understand how to develop a plan for running the RIM program

A strategic plan is a document used to communicate the organization’s goals and actions needed

Goals and objectives for the organization may be created for the next 10 years

The records manager must analyze the goals and prioritize goals to achieve the objectives

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RIM Program Components

A comprehensive RIM program includes Responsibility for storing records in a variety

of formats Records retention and destruction Compliance with all applicable laws and

regulations Managing active and inactive records Protecting vital records

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RIM Program Components

Other RIM responsibilities may include Micrographics technology The records audit Forms management Disaster prevention, preparation, and

recovery RIM software selection, implementation, and

management RIM policy implementation and enforcement

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Resource

Read, J., & Ginn, M. L. (2015). Managing a RIM Program. In Records management (10th ed.). Boston, MA: Cengage Learning.

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