Records Management Chapter 12 Controlling the Records and

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

RIM Responsibilities q 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 © 2002 South-Western Educational Publishing

Knowledge Management q 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 © 2002 South-Western Educational Publishing

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

Organizations q 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) © 2002 South-Western Educational Publishing

Control Elements q 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 © 2002 South-Western Educational Publishing

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

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

Control Tools q 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 q 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 © 2002 South-Western Educational Publishing

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

Efficiency Ratios q Standards for measuring the efficiency of various aspects of records systems § Activity ratio § Accuracy ratio § Retrieval efficiency ratio © 2002 South-Western Educational Publishing

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

Performance Control q 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 © 2002 South-Western Educational Publishing

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

Copy Control q 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) © 2002 South-Western Educational Publishing

Forms q Form—a fixed arrangement of spaces for entering and extracting information on a paper or electronic document q 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 © 2002 South-Western Educational Publishing

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

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