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)
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Cost Containments
• Records management costs– Salaries– Storage space– Equipment– Supplies
• To reduce costs– Identify costs for each
category– Consider offsite services
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Salaries are a large part of RIM costs.
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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
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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
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Media Handling and Storage
• Disk labeling• Operations manual
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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
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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
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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
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Disaster Prevention and Recovery
• Disaster recovery plan– Protecting records– Continuing business operations
• Plan phases– Prevention– Preparedness– Recovery
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Knowledge Management
• Systematic, effective use of an organization’s knowledge resources
• Explicit knowledge• Tacit knowledge
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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
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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
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