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. Do implemented audits  consider not only how records are being managed but also look at the overall process to consider what can be improved? Checklist for disposing of information The National Archives is the UK government's official archive. The most important part of creating this process? We'll say it plainly: not following through with a scheduled disposition will compromise compliance. … 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. 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. 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. Have you identified the business-critical information? 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. The goal of the self-assessments is to determine whether Federal agencies are compliant with statutory and regulatory records management requirements. 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. GDPR impacts across many areas within an organisation. You should assign lead responsibility for records management at a senior enough level to be able to change policy, process and culture. Making sure that it is well documented and easy-to-follow so there is no confusion after implementation. Are you using the most current version  of your  selected RM solution to hold and manage your records? 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. 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. Is this program well documented? Are the disposition procedures  scheduled and properly executed? Safe destruction of records. RECORD Checklist (Word document) The RECORD Statement is now in press at Plos Medicine . 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? Whatever decisions are made they need to be documented as part of the records management policy within the school. It is recommended that NSW public offices identify any statutory requirements which apply to the records, information or data that will be created and stored in … 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. This isn't the first blog post to iterate how critical it is to have a compliant RM program. Is your data backed up? How to ensure the security of your records? Ensure that this information is captured in the inventory, in the filing scheme or at the time the record is saved. Records Management Self-Assessment. Is your data, in all formats, accounted for? “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”. Are you able to restore your information in case of a mishap, and if so, how long would restoration take? This is often a more economical choice, in terms of costs and space, than storing these documents on-site. Your honest assessment will help your office’s VP or Dean determine needs and plan training. Managing government records in today’s world requires that your organization is both prepared and agile, especially during these turbulent times. Some questions to ask  when building a secure process: Where is your information stored? Reliability stems from a well documented program and simple-to-follow processes. This approach provides a flexible and sustainable maturity model for measuring FSS records and information management practices, and to highlight areas for continuous improvement. Because building a compliant RM process is great and all, but sticking to it is what actually keeps your organization's records management compliant. Share (Opens Share panel) Step 1 of 4: Management and organisational records management. Organisational arrangements to support records management. 2. Is it clear who the business owner is for all data in the system? 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. For more information refer to the Guide worksheet. It's about ensuring compliance by implementing and then sticking to the process. Each year, Federal agencies are required to conduct a Records Management Self-Assessment (RMSA) and submit the findings to NARA. Checklist AIIM's Record Audit Checklist ensures that you have your bases covered when preparing for an audit. information prescribed in ars 25-1, 25-400-2, and da pam 25-403; the proponent agency is ceit-opi-r. 1. name of organization visited and office symbol 2. date of visit 3. date of previous inspection 4. deficiencies were discussed with. section i - program management . Have both internal monitoring practices and external audits been implemented  with appropriate employees and  agencies? You may combine this with other roles within your business. This requires, Expand and Upgrade with Compliance in Mind, Collabware Content Wrap Up: Our Top 10 Topics of 2020. * Organisational arrangements to support records management, The National Archives website. Want to learn more? 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. NARA is committed to continuing to work with Federal agencies to strengthen their records In other words, it is a sort of internal manual of how quality is maintained within the company and with its output. Can these policies handle minor and major organizational changes: anything from employee changes to mergers and acquisitions? Use this checklist as a reference to make sure you have all your bases covered when it comes to proper document management. 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. Ownership and responsibility . You can then put measures in place to mitigate these risks. Are these schedules fitting for appropriate business units? This review should identify what might go wrong with a process and why. This isn't the first blog post to iterate how critical it is to have a compliant RM program. 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? IT Systems and Records Management Requirements Checklist. Having clarity of where your information is stored, how it is safeguarded and who has access. Knowing what information you have and where it is stored, you need to set up a classification scheme and  retention schedule appropriate for your organization. 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. 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. 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. Where resources are available, you should nominate an appropriately skilled lead to coordinate records management within your business. These might include records not being either updated, destroyed in a timely manner or held securely. Where resources are available, you … With all aspects of the process implemented, has a training program been established? Records management checklist report. 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. See IT systems checklist. All text content is available under the Open Government Licence v3.0, except where otherwise stated. With a strong plan in place, your team will be prepared to handle these requests more efficiently, allowing you to focus on your priorities. Are there opportunities for fusing classifications based on shared retention schedules? Do you have too many classifications, could they be cut down and simplified? How have access controls been set? The Records Management Audit Procedure sets the benchmark to PRSA standard. Does it cover all aspects of records management and what is expected of appropriate employees and management? To ensure you are operating within the guidelines, Restore have drawn up a checklist using ICO guidance to assist anyone involved with records management: Records management organisation: Your organisation needs to define and allocate records management responsibilities. Does the records retention schedule allow for easy records management and evaluation (ex: external audits)? Tips & Tricks, How To's and General Updates in the World of Records Management. Where resources are available, you should nominate an appropriately skilled records management lead to coordinate the management of records within the business. A policy will address how records are used within your business in a consistent manner. Have policies and procedures  been developed ensuring that information with all levels of confidentiality are properly safeguarded and  marked immutable if necessary? For example, improved information architecture, data management, business analysis and procedures. Download this records management checklist as a PDF. If no, clarify who is responsible for which data. Do we know what data the system must hold? Does this training program  take into consideration new employees and other changes in the organization? Word; Download . But  we'd like to make something very clear: proper records management is not about ''reaching compliance.' General Records Management Set-Up 2.12 Sufficient metadata is captured for electronic records to ensure that the record remains retrievable, interpretable, authentic and accessible over time. convenience files)? Are the training sessions provided periodically to keep all employees up-to-date? As your organization grows, shifts and changes, the process should be able to grow, shift and change to remain fitting and compliant. 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. Is this business-critical information easily accessible to your organization? With everything implemented and regularly monitored, the final step of the records management life cycle is records disposition. Did you know that all records covered under the GDA must be … Records Management Compliance Checklist Nadia Lepak, Jul 02, 2020 Share Tweet 'Compliance' is a commonplace term in the records management world. This checklist covers recordkeeping requirements under the State Records Act and Standard on records management. Awareness materials might include posters, office-wide emails, intranet updates and records management content in newsletters. Recommended actions & relevant guidance ; Action taken/explanation of why not being done . 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. Records management is key to service delivery and continuity as it will ensure appropriate and accurate information is available when required. Have you identified relevant standards, regulations, certifications and best practices around records management that apply to   your specific industry? army records information management system (ars 25-1, 25-400-2, and da pam 25 … Ask yourself the following questions: Have you written a classification scheme for  your records? But we'd like to make something very clear: proper records management is not about ''reaching compliance.' Key evidence in support of each element is listed throughout this Plan, and these documents are provided to the Keeper. Have you created a disposition policy considering relevant organizational practices and regulations? Is this solution meeting your needs? If you already have a corporate risk register, you can use this to include risks to records management functions. 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. With this records management training checklist, you'll be guided through the steps to ensure customer records are managed correctly, are up-to-date, and are acquiescent with global data-handling laws. Records Management Rapid Response Checklist. 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. Does your organization have the  appropriate people and technology to execute  the necessary record destruction? When developing this retention schedule, did you consider best organizational practices? 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. Repeat after me: Reliability ensures compliance. Does this training program  get reviewed and  updated regularly to stay current? Have you considered  relevant  laws on federal, state/province, and local municipality levels that could affect your records management program and retention schedules? This tool is divided into three sections: As-Is Checklist, To-Be Checklist, and a sample workflow process diagram. Has there been any thought towards identifying non-official records (i.e. If so, have both types been quantified? You should report on performance to key performance indicators (KPIs) periodically to management to provide assurances on compliance. 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