RECORDS MANAGEMENTJudith Read and Mary Lea Ginn

Chapter 12The Records and Information

Management Program

Copyright 2011 South-Western, Cengage Learning

RIM Program Components

• Record storage• Records retention and destruction

– Retention schedule development– Retention schedule implementation

• Compliance– Laws and regulations– Policies and procedures (ISO15489)

2

Cost Containments

• Records management costs– Salaries– Storage space– Equipment– Supplies

• To reduce costs– Identify costs for each

category– Consider offsite services

3

Salaries are a large part of RIM costs.

by_nicholas/iStockphoto.com

Electronic Document Imaging

• Is a computerized replacement for physical or micrographics systems

• Documents produced by– Scanning microforms or physical documents– Saving electronic documents

• Indexing is essential for accessing records• Procedures explained in a system manual

4

Records Retention and Migration

• Retention periods given on retention schedule

• Hard drives and optical disks used for storage

• Migration assures continued access to records

5

Legal Issues

• Considerations for digital or electronic records as evidence

• Conversion of records should be documented

• Systems should handle– Expungement of records– Protection for confidential records

6

Media Handling and Storage

• Disk labeling• Operations manual

7

Converting to Electronic Images

• Advantages– Productivity improvement with rapid online searches– Assured file integrity since images are not removed from

the files – Images can be accessed from remote locations via a

computer/network – Document security through restricted access– Fewer copies are needed due to online access for

reference

8

Inactive Records Management

• Inactive records storage– In a records center—either in-house or offsite– In a commercial records storage facility

• Vital records protection– Special procedures– Controlled environment– Increased security

9

Records Audit

• A periodic inspection to verify compliance with a records management program

• Information about current operations• Analysis of the current system and needs• Recommendations for improving the RIM

program

10

Records and Information Manual

• Contains information for managing a RIM program – Policy statements– Records retention schedules– Filing procedures– Records inventory procedures– Administrative responsibilities– Disaster prevention and recovery plans

11

Forms Management

• Types of forms– Single copy– Multicopy– Electronic

• Forms design– How the form will be used– Types of data to be filled in and their sequence– The amount of space needed for each fill-in item– Size, color, and weight of paper stock to be used

12

Disaster Prevention and Recovery

• Disaster recovery plan– Protecting records– Continuing business operations

• Plan phases– Prevention– Preparedness– Recovery

13

Knowledge Management

• Systematic, effective use of an organization’s knowledge resources

• Explicit knowledge• Tacit knowledge

14

RIM Software

• Allows management of electronic documents

• Automates the records retention process• Allows tracking of patent, trademark, and

copyright records• Facilitates searching documents• Provides statutory and regulatory research• Provides online backup

15

Retention Policy Implementation

• Identify records series eligible for retention actions

• Destroy records with elapsed periods• Transfer inactive paper or image records to

offsite storage• Transfer inactive electronic records to

removable media• Destroy paper copies after records are

microfilmed

16