AC24 | Session 12

"Measuring RIM Compliance Without Scaring People (Much)"

 

OVERVIEW: The Principle of Accountability means "assigning roles to the right people, having adequate policies and procedures to guide personnel, and ensuring that the program is designed in a way to ensure it can be audited" (ARMA). But how does a records manager audit their agency's departments for RIM compliance without invoking the fear of Being Audited? What is the best way to bring attention to noncompliance to the agency's leadership without alienating the less compliant departments?

This session will provide a framework for RIM compliance in an agency with a RIM staff of one. I will walk you through a successful compliance review--not an audit!--of our agency's adherence to RIM requirements at the departmental level. We will examine the importance of spelling out "who does what" in a RIM policy, discuss reasonable expectations for a departmental records coordinator who is managing records as an additional duty, and balancing the need to report noncompliance with the need to maintain the trust and goodwill of department heads and records coordinators. I will share our annual Records Management Compliance Review checklist template, discuss how the checklist was socialized to departmental coordinators, and how the checklist was provided to agency management.

GARA CERTIFICATE CORE COMPETENCY AREA: "Legal and Compliance Issues"

GEORGIA RECORDS ASSOCIATION GRMP CREDIT: 1 Credit in AK4 

TARGET AUDIENCE: State/Tribal, Public Institutions of Higher Learning

FOCUS AREAS: Records Management, Technology/Tools

PRESENTER: Angela Ossar, Records and Data Management Officer, The University of Texas System