Whatever decisions are made they need to be documented as part of the records management policy within the school. But we'd like to make something very clear: proper records management is not about ''reaching compliance.' Having clarity of where your information is stored, how it is safeguarded and who has access. Have you identified relevant standards, regulations, certifications and best practices around records management that apply to your specific industry? Have you considered relevant laws on federal, state/province, and local municipality levels that could affect your records management program and retention schedules? Records Management Self-Assessment. Does your organization have the appropriate people and technology to execute the necessary record destruction? Collabware not only provides RM solutions with features that meet legal and regulatory standards and certifications, but our services team of Information Governance experts can provide consulting and planning guidance to help ensure your project is compliant. See how Collabware can increase collaboration, productivity and compliance within your organization... Toll Free: 1-855-268-0442 Local: 778-724-1812 contact@collabware.com, SharePoint Records Management Outlook SharePoint Connector eDiscovery & Archive, Part 1: Create and document a compliant process, c) Consider Legal and Regulatory Requirements, After a simple, well documented process has been created, you must stick with it to truly ensure compliance. With everything implemented and regularly monitored, the final step of the records management life cycle is records disposition. It is a process which is often overlooked, and when done properly, can save money and reduce the hassles associated with paperwork. Recommended actions & relevant guidance ; Action taken/explanation of why not being done . For agencies to make the best use of their resources … This is often a more economical choice, in terms of costs and space, than storing these documents on-site. This review should identify what might go wrong with a process and why. Stay reliable, ask the following questions, and execute on your scheduled disposition dates. This page; Format. Awareness materials might include posters, office-wide emails, intranet updates and records management content in newsletters. Records management responsibilities should be written into job descriptions. records management inspection checklist . Records management is a simple yet crucial process for any business. For example, patient medical records, billing information and cost reports are areas that should be guided by clear healthcare records management policies and … Scope, Key Risks and Approach 3.1 … So ensure that after all of your hard work building this process out it is well documented and simple enough to follow, and that you have the appropriate tools and support in place for this process to grow and adapt with your organization. The UKâs independent authority set up to uphold information rights in the public interest, promoting openness by public bodies and data privacy for individuals. Have responsibilities and roles been established around all aspects of the records management process (content reviews, audits, etc.)? Are you familiar with the University of Otago Records Management Policy? The UKâs independent authority set up to uphold information rights in the public interest, promoting openness by public bodies and data privacy for individuals. This includes simple questions to guide you through two important portions: creating a well-documented compliant process and taking necessary steps to make sure the program is followed. For example, improved information architecture, data management, business analysis and procedures. RIF records management checklist The departing employee’s manager should coordinate with IT and information security to properly secure the departing employee’s business email, Office365 access, and other electronically stored information so that there is … You should brief all new staff on their responsibilities for the creation, use, maintenance and eventual destruction of records with regular refreshers to maintain levels of awareness. Is your data backed up? If not, how can you identify a more fitting alternative? Have both internal monitoring practices and external audits been implemented with appropriate employees and agencies? You should assign lead responsibility for records management at a senior enough level to be able to change policy, process and culture. Safe destruction of records. These might include records not being either updated, destroyed in a timely manner or held securely. The explanatory document and checklist are protected on a Creative Common Attribution (CC BY) license . Does your organization have both paper and electronic records? You may have already seen our RM Health checklist, now we've created a compliance checklist. With records you no longer use regularly, you can move them from your day-to-day system to secure, off-site locations. Are there set responsibilities around who is authorized to preform disposition approval reviews? Word; Download . Records and information management policy checklist The records and information management policy establishes the governance framework for the creation, capture, control, use, maintenance, and disposal of records and information in your organisation. Overall rating. RECORDS MANAGEMENT CHECKLIST Step 1 of 4: Management and organisational records management 1.1 Records management organisation Your business has defined and allocated records management responsibilities. After a simple, well documented process has been created, you must stick with it to truly ensure compliance. Our main duties are to preserve Government records and to set standards in information management … RM 101: What is Email Management, its Challenges and Best Practices. Have these audits been scheduled and implemented to occur on a periodic basis appropriate for your organization? Is this solution meeting your needs? RECORDS MANAGEMENT CHECKLIST Step 1 of 4: Management and organisational records management 1.1 Records management organisation Your business has defined and allocated records management responsibilities. The checklists draw from the concepts described in the Federal Enterprise Architecture Records Management Profile, records management standard ISO 15489, and similar checklists developed by other agencies. The Records Management Framework Completed 1.1 Purpose: The Records Management Framework comprises a network of Records Officers who provide an important communications link between Schools and Departments and the Records Management … 'Compliance' is a commonplace term in the records management world. 2.12 Sufficient metadata is captured for electronic records to ensure that the record remains retrievable, interpretable, authentic and accessible over time. Records management is key to service delivery and continuity as it will ensure appropriate and accurate information is available when required. Records Management Framework Induction Checklist Suggestions are made in Italics for additional information you may choose to include. If so, have both types been quantified? Have you considered how to expand your RM program into the broader, information governance space? The policy should clearly set out your approach to records management and should address your overall commitment, the role of records management, references to related policies and documents, staff roles and responsibilities and monitoring of compliance. The most important part of creating this process? Have records managers and any other relevant users been given appropriate access and permissions for the content? Where resources are available, you should nominate an appropriately skilled records management lead to coordinate the management of records within the business. Download this records management checklist as a PDF. Are you familiar with the New Zealand Universities General Disposal Authority (GDA), which sets out what action we must take for our major groups of records? Ownership and responsibility . When developing this retention schedule, did you consider best organizational practices? But we'd like to make something very clear: proper records management is not about ''reaching compliance.' Records management checklist report. Some questions to ask when building a secure process: Where is your information stored? Can you align security, including Office of Primary Responsibility/Retention Approvers, with your classifications? Checklist AIIM's Record Audit Checklist ensures that you have your bases covered when preparing for an audit. This approach provides a flexible and sustainable maturity model for measuring FSS records and information management practices, and to highlight areas for continuous improvement. Does this training program get reviewed and updated regularly to stay current? You should assign lead responsibility for records management at a senior enough level to be able to change policy, process and culture. Ask yourself the following questions: Have you written a classification scheme for your records? You should develop ways of checking staff compliance with policies and procedures; eg after hours desk sweeps to ensure adherence with clear desk policy and checks of disposal procedures to ensure that confidential waste is being disposed of correctly. When creating these retention schedules, it is pertinent to be aware of applicable legal standards and industry standards to make sure that your process not only adds business value, but also follows regulation. This Records Management Plan sets out the arrangements in place for managing records, in line with the 14 elements identified within the Keeper’s Model Records Management Plan. General Records Management Set-Up * Organisational arrangements to support records management, The National Archives website. Both regular internal monitoring and external auditing are important to keep tabs on whether the process is being followed and where improvements can be made for increased efficiency and added business value. Is it clear who the business owner is for all data in the system? Use this checklist as a reference to make sure you have all your bases covered when it comes to proper document management. For compliance, it's key to have set clear definitions around the roles and responsibilities with your organization's records management so the process is carried out and executed smoothly. Records Management Audit Procedure, Version 1 Objective ID: A25117857 5 | P a g e 3. Tips & Tricks, How To's and General Updates in the World of Records Management. These should cover records storage, timetables, and roles clearly defining who does what. IT Systems and Records Management Requirements Checklist. You should carry out regular exercises to identify, assess and manage records management risks. We've marked major steps and encourage you to ask the following questions along the way: Before any policies or procedures get drafted up, you need to know what you're working with. Performance measures might include progress against a records management action plan, archive retrieval rates measured against a service level agreement (SLA), progress regarding deletion of records against requirements of a retention schedule or data quality and accuracy. Pages. With a strong plan in place, your team will be prepared to handle these requests more efficiently, allowing you to focus on your priorities. Because building a compliant RM process is great and all, but sticking to it is what actually keeps your organization's records management compliant. NARA is committed to continuing to work with Federal agencies to strengthen their records A policy will address how records are used within your business in a consistent manner. This requires maintenance, monitoring, and adjusting the process if necessary. Do implemented audits consider not only how records are being managed but also look at the overall process to consider what can be improved? “Records management is responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records”. RECORD Checklist (Word document) The RECORD Statement is now in press at Plos Medicine . A Quality Management System (QMS) refers to the sets of policies, procedures and other records that serves as a guide as to how a company delivers products and services. It's about ensuring compliance by implementing and then sticking to the process. You may combine this with other roles within your business. GDPR impacts across many areas within an organisation. Strategic planning and resource allocation. Reliability stems from a well documented program and simple-to-follow processes. This may be combined with other roles within the organisation. This worksheet is a questionnaire that allows for a comprehensive assessment of compliance to the Records Management Code of Practice for Local Government and associated public bodies. Breaking down the project and asking the right questions is critical to ensure that you have built out and implemented a compliant process that meets legal requirements, regulatory standards, and of course brings optimal business value to your organization. As your organization grows, shifts and changes, the process should be able to grow, shift and change to remain fitting and compliant. Indicator / /NA . If no, clarify who is responsible for which data. Managing government records in today’s world requires that your organization is both prepared and agile, especially during these turbulent times. For a compliant RM process, it's critical to have developed policies and procedures with both your business values and legal requirements in mind. Making sure that it is well documented and easy-to-follow so there is no confusion after implementation. 1.1 Records management organisation. During inventory, it is useful to ask: What are your organizational records and where are they stored? Are you able to restore your information in case of a mishap, and if so, how long would restoration take? Is this business-critical information easily accessible to your organization? Have these roles and responsibilities been clearly communicated and documented so everyone is informed and can refer back to documentation if there is any confusion? Consider the following questions in the steps that lie beyond implementation: Having a well documented process, establish a training program to get the appropriate departments aligned on all aspects of this process so it is understood and followed through as efficiently as possible. Have you identified which records are vital for your organization and developed a Disaster Recovery Plan to ensure they are safe if there are any changes? You should give specialist training to staff with specific records management responsibilities such as management of disposal schedules, monitoring of data quality or oversight of records management practice in order to allow them to carry out their role effectively. Are the training sessions provided periodically to keep all employees up-to-date? You should report on performance to key performance indicators (KPIs) periodically to management to provide assurances on compliance. Repeat after me: Reliability ensures compliance. Records Management Rapid Response Checklist. No . Each year, Federal agencies are required to conduct a Records Management Self-Assessment (RMSA) and submit the findings to NARA. As you build and implement your compliant policies and procedures, are you documenting everything and considering how the program can be further expanded? Are you using the most current version of your selected RM solution to hold and manage your records? 1. At the end of it all we can't say it enough (so we'll reiterate once more): compliance stems from reliability. This isn't the first blog post to iterate how critical it is to have a compliant RM program. Sample to be tested 100% of each of the following record types: Leases Maintenance Contracts Etc. Are these schedules fitting for appropriate business units? The Records Management Audit Procedure sets the benchmark to PRSA standard. See IT systems checklist. All text content is available under the Open Government Licence v3.0, except where otherwise stated. Are the disposition procedures scheduled and properly executed? This requires, Expand and Upgrade with Compliance in Mind, Collabware Content Wrap Up: Our Top 10 Topics of 2020. If you already have a corporate risk register, you can use this to include risks to records management functions. The goal of the self-assessments is to determine whether Federal agencies are compliant with statutory and regulatory records management requirements. Records Management Compliance Checklist Nadia Lepak, Jul 02, 2020 Share Tweet 'Compliance' is a commonplace term in the records management world. How to ensure the security of your records? Checklist for disposing of information The National Archives is the UK government's official archive. All records containing personal information, or sensitive policy information should be made either unreadable or unreconstructable. 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