This chapter discusses records and information management (RIM) programs and their role within information governance. It explains that RIM supports organization-wide information governance led by upper management. Comprehensive information governance programs, which include standards, processes, roles and metrics, must be implemented to meet organizational needs and affect all departments. The chapter also outlines the principles that RIM programs should encompass, such as accountability, integrity, protection, compliance, availability, retention, disposition, transparency, and the duties and responsibilities of records and information managers in establishing goals, evaluating storage options, and managing the various components of a RIM program.

1. Chapter 14
Managing a RIM Program
RECORDS MANAGEMENT
Judith Read and Mary Lea Ginn
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2. RIM within the Information
Governance Program
 Records and information management (RIM)
supports information governance
 Organization-wide governance is usually
executed by upper-level management that can
delegate to lower-level managers
 Organizations must implement comprehensive
information governance programs to meet their
needs
 Information governance will affect all
departments and lines of business within an
organization
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3. Information Governance
 Information governance is the overarching
framework within which the RIM program resides
 Information governance is a strategic framework
 Includes standards, processes, roles, and metrics
 Designed to motivate and hold people
accountable to create, organize, secure,
maintain, use, and dispose of information in
ways that effectively support the organization’s
goals
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4. The Principles
 A RIM program encompasses a variety of
responsibilities
 By using the Principles, organizations can review and
evaluate their information governance practices
 They can also
 Identify areas that do not meet the desired level for
each principle
 Evaluate the risks to the organization
 Determine how to further develop their program
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5. Accountability
 The senior executive, as part of the duties and
responsibilities of the position, should develop
policies and procedures for RIM audits
 The audits should focus on user behaviors
 The audits should be conducted on a regular
basis
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6. Integrity
 An organization’s RIM program policies should
clearly state to employees the expectations for
honest and ethical behavior at all times
 The organization’s policies should also include
requirements for the integrity of content in all
company communications via physical
documents, e-mail, or social media
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7. Protection
 The organization’s records and information
policies and procedures should specifically
address the protection procedures that must be
followed
 Records and information protection procedures
apply to
 Official records
 Confidential and vital records and information
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8. Compliance
 The organization must assume responsibility for
all records as they conduct the business of the
organization
 It must have policies and procedures for
documenting compliance with applicable laws,
regulations, and requirements
 Many organizations have also made adjustments
to their policies and procedures to adhere to ISO
15489
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9. Availability
 Organizations should ensure that information
 Is indexed and retrievable through the use of
taxonomies (indexes)
 Is managed with policies and procedures to
maintain efficient access and retrieval of
information that the organization creates,
receives, and stores
 Is managed in accordance with established
retention periods
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10. Retention
 Organizations should apply their records
retention schedules to all records
 Created, received, and transmitted via postal
mail, fax, e-mail, or social media
 In a format that preserves the integrity of the
original record and is easily accessible
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11. Disposition
 The organization’s records management,
information technology, and legal departments
should be aware of the disposition requirements
for all records
 Disposition requirements include any records
residing on social media sites
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12. Transparency
 Organizations should develop policies for
conducting the organization’s business
 Through physical and electronic letters, e-mail
messages, or social media postings
 In terms of what information is prohibited
 To require employees who conduct business
through any of these forms to identify their
roles in the organization
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13. Records and Information Manager’s
Duties and Responsibilities
 The records manager needs to have a variety of skills
to
 Establish goals and objectives for the RIM program
 Evaluate potential options for facilities
 Manage the purchase of RIM supplies and
equipment
 Establish and monitor retention policies and
schedules
 Manage RIM storage facilities and security and
protection of the organization’s information assets
 Establish policies and practices for vital records
 Collect and preserve archival records
 Control the forms management program
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14. RIM Program Goals and Objectives
 The records manager needs to understand how to
develop a plan for running the RIM program
 A strategic plan is a document used to communicate
the organization’s goals and actions needed
 Goals and objectives for the organization may be
created for the next 10 years
 The records manager must analyze the goals and
prioritize goals to achieve the objectives
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15. RIM Program Components
 A comprehensive RIM program includes
 Responsibility for storing records in a variety
of formats
 Records retention and destruction
 Compliance with all applicable laws and
regulations
 Managing active and inactive records
 Protecting vital records
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16. RIM Program Components
 Other RIM responsibilities may include
 Micrographics technology
 The records audit
 Forms management
 Disaster prevention, preparation, and
recovery
 RIM software selection, implementation, and
management
 RIM policy implementation and enforcement
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17. Resource
Read, J., & Ginn, M. L. (2015). Managing a RIM Program. In Records
management (10th ed.). Boston, MA: Cengage Learning.
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