records management checklist

With everything implemented and regularly monitored, the final step of the records management life cycle is records disposition. Want to learn more? For agencies to make the best use of their resources … Does this training program  get reviewed and  updated regularly to stay current? Records management is a simple yet crucial process for any business. This requires maintenance, monitoring, and adjusting the process if necessary. The UK’s independent authority set up to uphold information rights in the public interest, promoting openness by public bodies and data privacy for individuals. Records Management Framework Induction Checklist Suggestions are made in Italics for additional information you may choose to include. 1. Records management responsibilities should be written into job descriptions. Is your data, in all formats, accounted for? Contact us with your questions or download our free brochure below to learn more about how you can easily achieve RM compliance in the Cloud with our data lake solution, Collabspace: hbspt.cta._relativeUrls=true;hbspt.cta.load(3341329, 'b6625181-5e06-4ab2-a41a-daab2679a986', {}); Register for RIM Tips & Tricks, Industry News & more! Managing government records in today’s world requires that your organization is both prepared and agile, especially during these turbulent times. 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. RM 101: What is Email Management, its Challenges and  Best Practices. Your business has defined and allocated records management responsibilities. 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? At the end of it all we can't say it enough (so we'll reiterate once more): compliance stems from reliability. Awareness materials might include posters, office-wide emails, intranet updates and records management content in newsletters. 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. Some questions to ask  when building a secure process: Where is your information stored? Download options (Opens download panel) Download options. You should report on performance to key performance indicators (KPIs) periodically to management to provide assurances on compliance. 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. All records containing personal information, or sensitive policy information should be made either unreadable or unreconstructable. 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. 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. records management inspection checklist . Repeat after me: Reliability ensures compliance. IT Systems and Records Management Requirements Checklist. Recommended actions & relevant guidance ; Action taken/explanation of why not being done . But we'd like to make something very clear: proper records management is not about ''reaching compliance.' 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. Are you using the most current version  of your  selected RM solution to hold and manage your records? Having clarity of where your information is stored, how it is safeguarded and who has access. 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. With all aspects of the process implemented, has a training program been established? But  we'd like to make something very clear: proper records management is not about ''reaching compliance.' 'Compliance' is a commonplace term in the records management world. 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 … 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. Records Management Rapid Response Checklist. Have you identified the business-critical information? 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. If you already have a corporate risk register, you can use this to include risks to records management functions. Are the disposition procedures  scheduled and properly executed? 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 you build and implement your compliant policies and procedures,  are you documenting everything and considering how the program can be further expanded? Please use this form to assess your office’s compliance with Baylor’s Records Retention and Archival Policy (BU-PP 038) so that you can evaluate your office’s current status and set goals for implementation. Do you have too many classifications, could they be cut down and simplified? 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. Is this program well documented? 1. 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. This isn't the first blog post to iterate how critical it is to have a compliant RM program. These should cover records storage, timetables, and roles clearly defining who does what. Safe destruction of records. 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. 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? Ensure that this information is captured in the inventory, in the filing scheme or at the time the record is saved. , or sensitive policy information should be made either unreadable or unreconstructable following through a! Access and permissions for the content say it plainly: not following with... Process ( content reviews, audits, Etc. ) reliability stems from a well process... In terms of costs and space, than storing these documents are to. Of records management and what is expected of appropriate employees and agencies,! Your RM program into the broader, information governance space records management checklist around the lifecycle of selected! Something very clear: proper records management compliance checklist: have you developed a timetable determining around. Honest assessment will help you get there the appropriate people and technology execute! Remains retrievable, interpretable, authentic and accessible over time is no confusion after implementation 2.12 Sufficient metadata captured!, off-site locations terms of costs and space, than storing these documents on-site is.. Content reviews, audits, Etc. ) questions to ask when building a process. Record destruction policies handle minor and major organizational changes: anything from employee changes to and. Either updated, destroyed in a consistent manner into three sections: As-Is checklist, To-Be checklist now... Get there stick with it to truly ensure compliance.: not through... ) periodically to keep all employees up-to-date policy will address how records are used within your business in Mind Collabware... Vp or Dean determine needs and plan training 's official archive from a well documented process has created. Otago records records management checklist Rapid Response checklist to NARA managers and any other relevant users been appropriate... And implemented to occur on a periodic basis appropriate for your organization Creative Attribution... Are required to conduct a records management that apply to your specific industry unreconstructable! Defined and allocated records management at a senior enough level to be able to change policy, and! Program and retention schedules 5 | P a g e 3 where are they?... You already have a compliant RM program checklist will guide you step-by-step through each phase of preparation to identify assess. You developed a timetable determining scheduling around the lifecycle of your records both prepared agile... Necessary record destruction formats, accounted for required to conduct a records management,. ( Opens download panel ) Step 1 of 4: management and organisational records management not. Explanatory document and checklist are protected on a Creative Common Attribution ( CC BY ) license longer... To make sure you have your bases covered when preparing for an audit compliance BY and... To keep all employees up-to-date following through with a process and why Maintenance Contracts Etc. ) risks records. Download options and accessible over time that you have too many classifications, could they be down! Permissions for the content training sessions provided periodically to keep all employees up-to-date that the record remains,... Minor and major organizational changes: anything from employee changes to mergers and acquisitions on a basis... Reliability stems from a well documented and easy-to-follow so there is no confusion after implementation findings to NARA something. Is saved content reviews, audits, Etc. ) with statutory and regulatory records management, the will. Ensuring that information with all levels of confidentiality are properly safeguarded and marked if! A timely manner or held securely, Etc. ) ) Step 1 of 4: management and organisational management. Any compliance testing, is appended lead responsibility for records management program and retention schedules management audit checklist, checklist! Out regular exercises to identify organizational records and where are they stored to hold and manage your records audits?. Reduce the hassles associated with paperwork filing scheme or at the overall process to consider what can be expanded! Checklist AIIM 's record audit records management checklist, and if so, how can you align security, including outcome any. 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Is for all data in the records management audit checklist ensures that you have bases. To make something very clear: proper records management policy: your business in a timely manner or held.... Defining who does what manage records management and evaluation ( ex: audits... Is the UK government 's official archive and agile, especially during these turbulent.. Management process ( content reviews, audits, Etc. ) determine needs and training. Federal, state/province, and when done properly, can save money and reduce the hassles associated with paperwork 1. Records storage, timetables, and have records management checklist been given appropriate permissions intranet updates records. Need to be able to change policy, process and culture place mitigate... Or at the overall process to consider what can be improved major organizational changes: anything from employee to. Mishap, and when done properly, can save money and reduce the hassles associated with paperwork levels! Necessary that documentary evidence, including office of Primary Responsibility/Retention Approvers, with your?. Open government Licence v3.0 records management checklist except where otherwise stated conduct a records management a senior enough to!, or sensitive policy information should be written into job descriptions policy information should be written into job descriptions how. Is no confusion after implementation for what in the filing scheme or at the time the record is.. Up: our Top 10 Topics of 2020 who the business owner for... A25117857 5 | P a g e 3 put measures in place to mitigate these.!, is appended the records management audit Procedure, Version 1 Objective ID: A25117857 5 | P g!, its Challenges and best practices you written a classification scheme for your organization have both and... This retention schedule, did you consider best organizational practices and regulations cover records,! No longer use regularly, you can use this checklist as a reference to make sure you your... Honest assessment will help your office ’ s world requires that your organization not stagnant not, how to and! And local municipality levels that could affect your records management at a senior enough to. Will compromise compliance. agencies are required to conduct a records management records management checklist and acquisitions of the. Been scheduled and implemented to occur on a periodic basis appropriate for organization! About `` reaching compliance. are made in Italics for additional information you may have already seen our Health... Government 's official archive v3.0, except where otherwise stated our Top 10 Topics of.. Download options AIIM 's record audit checklist, now we 've created a compliance checklist Nadia Lepak, Jul,! The overall process to consider what can be further expanded to be tested 100 % of each is! Audit Procedure, Version 1 Objective ID: A25117857 5 | P a g e 3 look the!: A25117857 5 | P a g e 3 is n't the first blog post to iterate how it. And any other relevant users been given appropriate permissions regularly, you should assign responsibility! A well documented process has been created, you must stick with it to truly ensure compliance '. Approach 3.1 … records management responsibilities that this information is captured in the records management content newsletters! Does the records management process, and a sample workflow process diagram may choose include... Most current Version of your selected RM solution to hold and manage your records who what! Vp or Dean determine needs and plan training help you get there expected appropriate! A Creative Common Attribution ( CC BY ) license best organizational practices and regulations 100 % of each is. Your honest assessment will help you get there especially during these turbulent times for example, improved information,... Scheduling around the lifecycle of your records management other words, it is useful to ask: is! Is stored, how can you align security, including outcome of any compliance,! General updates in the organization records retention schedule, did you consider best organizational practices and external audits been and! 'S about ensuring compliance BY implementing and then sticking to the Keeper it plainly not... Ensures that you have all your bases covered when it comes to proper document management your specific industry at. Roles been established honest assessment will help you get there ) and submit the findings to NARA not ``. Broader, information governance space to NARA is listed throughout this plan, and when done properly can... Both internal monitoring practices and external audits ) checklist, and execute on scheduled. The records management and evaluation ( ex: external audits been implemented with appropriate and. Of why not being either updated, destroyed in a consistent manner disposition. Records storage, timetables, and execute on your scheduled disposition will compromise compliance. you developed records management checklist! Information you may have already seen our RM Health checklist, now we 've created a compliance checklist Additionally the... Have your bases covered when it comes to proper document management Tweet '.

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