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RECORDS MANAGEMENTJudith Read and Mary Lea Ginn

Chapter 2

The RIM Environment

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Electronic Business Activities“The Internet is a worldwide network of computers used to send,

store, and receive electronic information over public networks” (Read & Ginn, 2015, p. 20).

The World Wide Web (www) is a network of computers that can read documents containing hyperlinks which permits and individuals to browse on different websites (Read & Ginn, 2015, p. 20).

Websites, can be accessed by anyone who has an Internet connection. Companies, organizations, and individuals create these sites to target an audience.

E-Commerce E-commerce is used to communicate and

transact business using networks and computers (Read & Ginn, 2015, p. 20).

In simpler terms , e-commerce is the selling and buying of products, items, and services via the internet and other digital communications. Electronic fund transfer Smart cards Digital cash

Complex, Sophisticated E-commerce systems use a combination of technology: The organization’s databases Server applications

Browser software

Management of e-commerce involves the company’s information technology, records management, and legal departments

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Electronic Fund Transfer and Data Interchange

Electronic fund transfer (EFT) provides for electronic payments and collections (Read & Ginn, 2015, p. 21). Safe, secure, efficient, and less

expensive than paper checks and collections.

Most business use this type of route when paying employees (Direct Deposit)

Electronic data interchange (EDI) is a communication procedure between two companies that allows the exchange of standardized documents through computers (Read & Ginn, 2015, p. 21). Invoices or purchases orders

***Information managers should ensure that the records transmitted are authentic, correct, and usable

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Programs for Managing RecordsRecords management is not new, it has been taking place in

organizations over 50 years.

Tragedies and corporate scandals in recent years have affected the profession of records and information management.

Events have forced managers to reconsider how information and records management processes should be updated and improved

Information Governance Information governance (IG) is the

overarching framework within which the records and information management program resides (Read & Ginn, 2015, p. 21). IG is broader than RIM and provides a

structure for which all business transactions and reference information within an organization are managed.

Under IG measures or standards are used to assure compliance in the creation, use, retention, and disposition of organizational information (Read & Ginn, 2015, p. 21). Standards are set for managing all

records

Ideally, IG policies, procedures, and compliance standards are develop by a cross-functional steering committee that consist of business, legal, RIM, and information technology.

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Generally Accepted Recordkeeping Principles

ARMA’s Generally Accepted RecordKeeping Principles® (“The Principles”) were developed and published through ARMA International (not-for-profit professional association and the authority on information governance programs). The Principles foster general

awareness of information governance standards and principles

They are comprehensive in scope but general in nature

They are intended to set forth the characteristics of an effective information governance program

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Records Program Management Guidelines

Records and information management (RIM) programs should have common features Adherence to the ARMA Principles A legally defensible retention schedule to reduce risk and legal liability Efficient procedures for managing each stage in the records life cycle A well-trained staff

The RIM system may be centralized where the records are physically located and controlled in an area.

Or the RIM system may be decentralized where the records are physically located in the departments where they care made and utilized.

Each plan has it advantages and disadvantages that supervisors should take into consideration before adopting a method of choice.

Electronic Records Management Tools

Several terms relate to processes, policies, and procedures for managing electronic records “Enterprise content management (ECM) is the strategies,

methods, and tools, used to capture, manage, store preserve, and deliver content and documents related to organizational processes” (Read & Ginn, 2015, p. 24).

Electronic document records management (EDRMS)“Association for Information and Image Management (AIIM)

is a global, non-profit organization that provides independent research, education, certification programs, to information professionals” (Read & Ginn, 2015, p. 23).

The value of ECM includes technology and the activities that involve people and processes.

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Common Records System Problems and Challenges

A records system is a bundled of interrelated resources, such as people, equipment, supplies, space, procedures, and information that act together though a plan to achieve goals of the RIM program (Read & Ginn, 2015, p. 25).

It is important to know that anything that hinders the processes of these resources creates a complication in the records system.

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Examples of common problems in records systems include

It crucial that RIM professionals have the ability to clearly identify between records and nonrecords, especially when they are managing information being created by technology.

Common Records System Problems and Challenges

Problem Symptoms

Management • No overall plan for managing records• No plan for retaining or destroying records• No standards for evaluating workers

Human Problems • Hoarding records• Assuming people know how to use the files for

storage and retrieval of records

Insufficient Filing Procedures • Failure to protect records• Records removed from and placed into files without

proper authorization

Poor Use if Equipment • No equipment standards• No use of fire-resistant equipment

Inefficient use of Space • Crowded working conditions• Poor layout of storage area

Excessive records cost • Inefficiency due to the above problems

Legal Considerations for Records Management

As records continue to increase so does legislation to help keep privacy and security of citizens.

There are laws and regulations that are in place

Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule, 2001

Patriot Act, 2001

Records managers must be continually willing to adapt and meet these challenges.

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Legal Considerations for Records Management Continued

Managers must be certain that their companies’ recordkeeping systems are legally acceptable

Discovery happens “when a company is subject to litigation or a lawsuit, all information, records, and other evidence that are relevant to the case must be identified and retrieved. These procedures are called the discovery process” (Read & Ginn, 2015, p. 28).

“E-discovery is the process of identifying and providing all electronically stored information and records relevant to the case” (Read & Ginn, 2015, p. 28).

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Careers in Records Management Opportunities to work with

records exist in every type and size of office(Read & Ginn, 2015, p. 29).

Larger organizations with specialized staff often employ workers in various levels Operating level

Advanced operating level

Supervisory level

Managerial/executive level

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Career Resources and Professional Organizations

Institute of Certified Records Managers (ICRM)

ARMA International

Occupational Outlook Handbook

O*NET, the Occupational Information Network

Association for Information and Image Management (AIIM)

American Health Information Management Association (AHIMA)

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ReferencesRead, J., & Ginn, M. L. (2015). THE RIM

Environment. In Records management (10th ed.). Boston, MA: Cengage Learning.

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