1. 7 th Edition  Read-Smith, Ginn Records Management © 2002 South-Western Educational Publishing Chapter 12 Controlling the Records and Information Management Program

2. © 2002 South-Western Educational Publishing RIM Responsibilities  A records and information management (RIM) program includes responsibilities for  Paper, magnetic, and electronic records storage  Micrographics technology  Forms and reports management  Disaster prevention and recovery  Knowledge management  Information technology/information systems

3. © 2002 South-Western Educational Publishing Knowledge Management  The systematic, effective management and use of an organization’s knowledge resources  Explicit knowledge—contained in documents, databases, e-mail, or other records  Tacit knowledge—acquired through observation, practice, and imitation

4. © 2002 South-Western Educational Publishing Controls and Standards  Control—a device or mechanism used to regulate or guide the operation of a system; to check or verify by comparison with a standard  Standard—a complete and well-defined set of published rules pertaining to a certain subject; a measure or yardstick by which performance is rated

5. © 2002 South-Western Educational Publishing Organizations  Organizations that develop standards for records and information management  Association of Records Managers and Administrators, (ARMA International)  Association of Information and Image Management (AIIM)  American National Standards Institute (ANSI)  International Organization for Standardization (ISO)

6. © 2002 South-Western Educational Publishing Control Elements  A complete RIM program should provide the following essential elements  Systematic control over all media containing business information  Adequate records of all business activity  Uniform policies and procedures for identifying, storing, and retaining records  Systematic and accurate distribution of and access to records

7. © 2002 South-Western Educational Publishing Control Elements  Protection for all records and a disaster recovery plan  A records appraisal process  Cost, efficiency, and performance controls  Training and education  A complete RIM program should provide the following essential elements

8. © 2002 South-Western Educational Publishing Control Tools  Records inventory—a detailed listing of an organization’s records including quantity, type, function, location, and frequency of use  Records retention schedule—a listing of an organization’s records and the length of time the records must be kept

9. © 2002 South-Western Educational Publishing Control Tools  Records audit—a periodic inspection to verify that an operation is in compliance with a records management program and suggest ways of improving the program  Disaster recovery plan—a written and approved course of action to take when disaster strikes, ensuring an organization’s ability to restore critical business functions

10. © 2002 South-Western Educational Publishing Efficiency Control  A method for evaluating the ability to produce a desired effect with a minimum expenditure of time, energy, and space  Efficiency standards used in records management  Number of misfiles  Numbers of records that cannot be found  Time required to find a record

11. © 2002 South-Western Educational Publishing Efficiency Ratios  Standards for measuring the efficiency of various aspects of records systems  Activity ratio  Accuracy ratio  Retrieval efficiency ratio

12. © 2002 South-Western Educational Publishing Cost Control  Costs to be controlled in a records and information management system  Salaries (and benefits)  Space  Equipment  Supplies  Labor costs represent the largest percentage of total costs

13. © 2002 South-Western Educational Publishing Performance Control  These aspects of human behavior must be understood and controlled to the degree possible  Poor attendance and excessive overtime  Errors in work and slow response to jobs  Failure to follow budget limits  Low morale and repeated failure to meet performance standards

14. © 2002 South-Western Educational Publishing Correspondence Control  Evaluating and looking for the most economical ways of creating, distributing, using, storing, and eventually disposing of correspondence  The ultimate goal is to reduce the number of records that must be stored and maintained

15. © 2002 South-Western Educational Publishing Copy Control  Ways to control copying costs include  Select the most suitable—and least expensive—methods and supplies  Use only one or two copier models to reduce maintenance costs  Calculate per-copy costs regularly  Charge all copying costs to the department involved (called chargeback)

16. © 2002 South-Western Educational Publishing Forms  Form—a fixed arrangement of spaces for entering and extracting information on a paper or electronic document  Forms include two types of data  Constant data—that are preprinted on a form  Variable data—that change each time a form is filled in

17. © 2002 South-Western Educational Publishing Forms Control  Goals of forms control programs  Determine the number and use of forms  Eliminate unnecessary forms  Standardize form size, paper quality, and design features  The cost of using forms is high compared to the purchase/creation cost of forms and offers the best possibilities for cost savings

18. © 2002 South-Western Educational Publishing EDMS  Electronic document management system (EDMS)—a control system for regulating the creation, use, and maintenance of electronically created documents  Links paper, image, and electronic documents into one flexible and expandable document management system