RIM Basics 101

The State of Georgia formally defines a public record in O.C.G.A. § 50-18-70(b)(2) as – all documents, papers, letters, maps, books, tapes, photographs, computer based or generated information, data, data fields, or similar material prepared and maintained or received by an agency or by a private person or entity in the performance of a service or function for or on behalf of an agency or when such documents have been transferred to a private person or entity by an agency for storage or future governmental use.

A record is any recorded information, regardless of storage media or format, created, received, or maintained as evidence of conducting business. A record provides evidence of university activities and can be in any format or media, including paper, microfilm, and electronic.

Records Information Management (RIM), also known as records management (RM), is the systematic control of all records (regardless of storage media/location) from creation or receipt through processing, distribution, use, retrieval, and maintenance to their ultimate disposition. The policies, procedures, and rules that govern the control of records comprise a RIM program.

RIM addresses the lifecycle of records, i.e., the length of time records is in the custody of University offices. The lifecycle usually consists of five stages:

1. Creation or Receipt
2. Usage and Maintenance
3. Storage and Maintenance
4. Inspection and Migration
5. Destruction or Preservation

An integrated lifecycle approach denotes a consistent, coherent set of seamless management processes. The integrated records management lifecycle model requires data governance, shared accountability, and a commitment to information stewardship to ensure the sustainability of these critical management activities.

Step 1 Creation or Receipt
When information and records are produced or received (and before creation, in the design of records systems) in various formats using different equipment and technologies.

Step 2 Usage and Maintenance
When information and records are transmitted to those who need them and, upon receipt, are used to conduct university business. Records are filed or stored according to a logical scheme to permit subsequent retrieval, storage, protection, and maintenance to safeguard the integrity of the information. During this stage, the information is active, frequently referred to, and thus usually stored close to its users.

Step 3 Storage and Maintenance
When information and records decline in value, they become inactive. Records are then removed from active storage (i.e., prime office space) or transferred to inactive or off-site storage for retention life. Records are filed or stored according to a logical scheme to permit subsequent retrieval, protection, and maintenance to safeguard the integrity of the information. During this stage, the information is inactive and not frequently accessed. 

Step 4 Inspection and Migration
Migrated records should be verified, searchable, and retrievable after information and records are reviewed and shifted from one system, mode of operation, or enterprise to another.

Step 5 Destruction or Preservation
When information and records reach the end of their retention period and have no further legal, fiscal, or administrative value, they are: (1) safely destroyed or (2) preserved permanently for ongoing historical reference or research purposes. 

Records are created as a by-product of conducting business that provide evidence of what happened, why, and by whom. They are valuable university assets that can improve the efficiency and effectiveness of university operations through their retention and reuse.

Records support accountability, which means providing an explanation or justification and accepting responsibility for events or transactions. Accountability is internal and external to the university, including delegating responsibility to staff and reporting to outside entities.

A RIM program provides:

• Volume reduction and cost control by reducing costs associated with storing records that have met their retention period.
• Access to information with improved records retrieval.
• Identifying records of continuing value to the university.
• Litigation risk management in minimizing discovery costs with prompt and accurate responses to litigation discovery requests.

An official record is the complete (final), authoritative version retained and required for business or legal reasons. Official records provide evidence of the University of West Georgia's organization, business activities, decisions, procedures, operations, and internal or external transactions and reflect the University's intent to preserve such information. Records are considered 'official' when in a final form and held by the designated "Office of Record."

The "official retention period" identified in the Records Retention Schedules applies to Official Records.

As part of the RIM Program, an office of record may be established for each records series to avoid duplication of holdings across departments and agencies. Only the identified official record is to be retained to comply with federal or state requirements or for permanent historical and research value. The Office of Record is responsible for managing, retaining, and the timely destruction of particular official University Records.

Unofficial also referred to as non-records, have no legal or business requirements to be retained. These records (e.g., duplicates, convenience, transitory, drafts, or working papers) are used for reference purposes.

The RIM policy does not pertain to non-records; therefore, these do not need to be retained, stored, disposed of, or destroyed following procedures created under this policy and state law. As soon as unofficial records have met their immediate business need, they may be discarded but never kept longer than the retention period for the office of record.

In a legal proceeding, an unofficial record can be used in court. Lawful discovery requests may compel the production of any or all draft documents.

To prevent the required production of unofficial records:

• Ensure that unofficial records are not kept longer than the retention period for the official record.
• Dispose of duplicate records when they are no longer useful.

Virtually every aspect of the university's business depends upon records. Some records are created automatically as a part of doing business. For example, when an email message is used to transact business, a record is created and should be retained as evidence of that business activity. Human Resources maintain employment applications as records to document an employment activity and to satisfy legal and regulatory retention requirements. Other transactional business activities routinely created include sending invoices, executing contracts, and issuing reports.

Other university activities may not routinely create records (e.g., meetings of boards and committees do not automatically generate records; therefore, minutes are deliberately created and distributed to document board and committee actions.) A record should be established for activities that do not result in the automatic creation of records.

Records can be created in any format and stored in various media. However, in today's work environment, most records are created electronically, stored digitally, and often printed. Hence university recordkeeping systems maintain records in various media, including paper, microfilm, optical media, and magnetic tape.

Creating and maintaining complete and accurate records to provide credible evidence of university decisions is essential.