Rating Records Management Program Maturity

A records and information management (“RIM”) program that is effective and efficient allows you to do the following:

  • Create only the records needed to satisfy legal, fiscal, administrative, and operational requirements.
  • Retain essential records and destroy obsolete records.
  • Store records safely and securely in a cost-effective manner.
  • Retrieve information quickly through efficient access and retrieval systems.
  • Use the right information technology for the right reasons.
  • Promote and support the use of archival records as a community resource.
  • Recognize through policy and procedures that records management is everyone’s job.

If your organization is struggling in any of these areas, tools like the Records Management Maturity Model (“RM3”) can be helpful.

The RM3 is adapted from the National Archives of Canada’s Information Management Model and includes six areas for evaluation—organizational context, organizational capabilities, management of records and information management, compliance and quality, records life cycle, and user perspective.

A five-point scale in RM3, ranging from one (undeveloped RIM program or in the beginning stages) to five (industry best practices program), allows organizations to see how they compare to industry best practices.

The criteria for each element are summarized below:

  1. Organizational context. This includes an organization’s capacity to support, sustain, and strengthen its records management capabilities. It also includes a review of the organization’s culture, change management capability, and impact of the external environment on its RIM practices.
  2. Organizational capabilities. Included here is an organization’s capacity to develop its people, processes and technology resources for a sound RIM program. It also includes an evaluation of the organization’s availability of internal specialists to manage the program. In addition to RIM tools and their enabling technologies, other areas reviewed include project management capabilities and relationship management in support of RIM.
  3. Management of records and information. An organization’s capacity to effectively manage activities in support of records management as it relates to the effective delivery of programs and services is the theme of this element. Included is an evaluation of leadership and executive awareness, quality of strategic plans, principles, policies and standards, roles and responsibilities, program integration, mechanisms for risk management, and the performance management framework for RIM.
  4. Compliance and quality. High maturity in this area means that the organization has controls in place to ensure that its records holdings are not compromised. This includes the extent to which the organization’s processes ensure records are authentic, reliable, usable, and have integrity (i.e., records quality), information security, privacy, business continuity, and compliance.
  5. Records life cycle. Ensuring that the organization has capacity to support each phase of the records life cycle is part of this element. This includes incorporating records life cycle requirements in policies, programs, services and systems, and assessing records collections, their sharing and re-use. The organization of records for optimized retrieval as well as maintenance and preservation of records for long-term usability, and records disposition plans are also included here.
  6. User perspective. People are an important aspect of any program. The organization must have the capacity to meet the information needs of all users. This element includes an evaluation of user awareness, user training and support, and user satisfaction.

While the above elements and criteria are highly effective for evaluating RIM programs, they can also be used for other areas. But before embarking on any program evaluation, discern whether the program is required in the first place.