Audit to ensure RIM program health, growth: auditing your RIM program regularly can ensure its good health, the direction and focus for its continued growth, and its ultimate maturity.

• Author: Streck, Helen
• Position: RIM FUNDAMENTALS - Records and information management

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The first time my records and information management (RIM) program was to be audited, flu-like symptoms began to occur; I was nauseated, nervous, and wanted to go home. This pain was a result of the perception in my organization that audits were meant to look for failures or weaknesses in programs, processes, or systems. They were definitely something to avoid, if possible.

The audit was unannounced and I was not prepared. Because of my reaction, I missed the opportunity to find RIM champions to help drive improvement.

Unfortunately, the auditors did not understand RIM, and their prescribed findings and recommendations did not offer me improvements that were based on any standards. As a result, program growth and maturity went unrealized. I had to work harder for change.

I vowed this would not happen again; once was enough for me. I changed my point of view and focused on the future. Now, the flu-like symptoms don't happen anymore. Today, I believe that audits, approached correctly, are to be valued by the organization and the group being audited. Audits should serve as tools for improvement to make programs strong and vibrant, as well as for recognition of work being done well.

How then should audits be conducted? What are the elements of a RIM program audit?

Value of an Audit

The value proposition for a routine RIM program audit needs to be stated and align with the program's mission to support the corporate mission. Auditing the RIM program or function enables an organization to minimize risk and promote services that drive the business forward by:

* Ensuring RIM operations are efficient and effective in meeting program goals and objectives

* Finding and recommending corrections for those practices and behaviors that minimize value

* Preventing unhealthy practices or behaviors from becoming commonplace

To continue realizing this value, audit practices must be normalized and anticipated as improvement opportunities. Left unmeasured, RIM programs, at best, may not meet the demands of the organization. At worst, they may ignore legal requirements and risks that can cost the organization unnecessary resources.

Planning, preparing, and creating meaningful measurement criteria are the keys to a successful audit. These criteria ensure that the audit will be objective, well-communicated, and offer opportunities for improvements that are realistic and achievable.

Audits are cyclical by nature and executed in phases: 1)...