Records management controls the life cycle of information in an organization, from creation to disposition. Failing to establish clear lines of responsibility for this process introduces legal and operational risk, potentially leading to regulatory fines and a loss of institutional memory. Successful control over the vast amounts of data generated daily requires a defined structure where different personnel and departments hold distinct duties. This article clarifies the specific roles required to maintain a successful and compliant records and information management program.
What is Records Management and Why is Accountability Crucial?
Records management (RM) is the organizational function dedicated to systematically controlling information throughout its entire life cycle, from creation or receipt through final disposition. The goal is to ensure that records serve as accurate evidence of business transactions and activities. Implementing a robust RM program is necessary for legal compliance, operational efficiency, and risk mitigation. Failure to comply with mandated retention periods can result in financial penalties. Proper management allows organizations to quickly produce relevant records during legal discovery and reduces costs associated with storing unnecessary information.
Executive Leadership and Governance Oversight
Senior leadership, including the CEO and the Board of Directors, holds the ultimate responsibility for the organization’s records posture and associated risk. They set the overall strategic direction for information management, aligning it with the company’s mission and regulatory environment. This group officially approves the formal records management policy and ensures its integration into the organization’s structure. Furthermore, the executive team is responsible for resource allocation, approving the necessary budget for staffing, technology, and training required to run the program effectively.
The Role of the Records and Information Management (RIM) Team
The Records and Information Management (RIM) team, often led by a Records Officer, acts as the operational and technical expert group. Their primary function is translating the high-level governance policy into a working program applicable across all departments. They are responsible for designing the management system, including creating classification schemes and filing structures. The RIM team develops and administers the records retention schedule, dictating how long each record type must be kept before final disposition. They manage the records inventory, provide specialized training, and function as the central authority for all records-related procedures and controls.
Supporting Functions: Legal, IT, and Auditing
The records program relies heavily on specialized support functions that provide specific expertise and technical enablement. These departments serve as service providers to the RIM team, ensuring the program is legally sound, technologically secure, and consistently applied.
Legal and Compliance
The Legal and Compliance department interprets external obligations, defining requirements that govern information retention and disposition. They review statutes, regulations, and case law, such as those stemming from financial regulations or data privacy laws. Legal teams formally define the retention periods for the retention schedule, working with RIM to ensure compliance. They also manage the process of placing mandatory holds on records when litigation is anticipated, preventing the destruction of relevant evidence.
Information Technology (IT)
The Information Technology (IT) department is accountable for maintaining the infrastructure of the digital records program. This includes servers, cloud storage, and Electronic Document and Records Management Systems (EDRMS). IT ensures these systems are secure, accessible, and configured to enforce the retention and disposition rules established by the RIM team. They also manage data backup procedures and disaster recovery planning, guaranteeing that records remain protected and available.
Internal Audit
Internal Audit provides an independent verification layer to ensure the records program is followed consistently throughout the organization. Their responsibility is to regularly assess compliance with policies approved by executives and implemented by the RIM team. Audit teams conduct periodic reviews to measure adherence to established procedures, identifying areas of non-compliance. They report findings back to executive leadership, providing assurance that the program’s controls are functioning as designed.
Departmental Managers and Records Coordinators
Departmental managers and designated records coordinators serve as the crucial link between the centralized RIM policy and the daily workflow of individual business units. This layer translates the organization’s overarching policy into practical, localized procedures relevant to their specific operations, such as ensuring HR files meet personnel retention policies. Managers oversee compliance within their teams, monitoring whether employees are accurately classifying and storing records in the approved systems. They act as the primary liaison with the central RIM team, communicating local challenges and ensuring new employees receive necessary records management training.
The Essential Duty of Every Employee
The foundation of any successful records management program rests on the actions of every employee, regardless of their role or tenure. Every individual who creates, receives, or uses information is responsible for the quality and integrity of that record. Their duty begins at creation, requiring them to ensure the document’s accuracy and completeness and classify it correctly within the approved system. Employees must strictly adhere to established filing and storage protocols, avoiding the use of unauthorized systems or personal drives for business records. Furthermore, every employee is obligated to immediately cease the destruction of any record when notified of a legal hold, as their compliance protects the organization in legal matters.