Have you considered how to expand your RM program into the broader, information governance space? This may be combined with other roles within the organisation. The Records Management Audit Procedure sets the benchmark to PRSA standard. Are you familiar with the University of Otago Records Management Policy? Use this checklist as a reference to make sure you have all your bases covered when it comes to proper document management. Are you able to restore your information in case of a mishap, and if so, how long would restoration take? Have records managers and any other relevant users been given appropriate access and permissions for the content? A policy will address how records are used within your business in a consistent manner. For a compliant RM process, it's critical to have developed policies and procedures with both your business values and legal requirements in mind. This review should identify what might go wrong with a process and why. With records you no longer use regularly, you can move them from your day-to-day system to secure, off-site locations. 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. These should cover records storage, timetables, and roles clearly defining who does what. This isn't the first blog post to iterate how critical it is to have a compliant RM program. Even beyond implementation, the process is not stagnant. Is this business-critical information easily accessible to your organization? 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. Have you identified relevant standards, regulations, certifications and best practices around records management that apply to   your specific industry? As your organization grows, shifts and changes, the process should be able to grow, shift and change to remain fitting and compliant. 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. At the end of it all we can't say it enough (so we'll reiterate once more): compliance stems from reliability. Are you using the most current version  of your  selected RM solution to hold and manage your records? It's about ensuring compliance by implementing and then sticking to the process. 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. Do implemented audits  consider not only how records are being managed but also look at the overall process to consider what can be improved? 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. 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. Want to learn more? … Records management policy: Your business has … 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. The explanatory document and checklist are protected on a Creative Common Attribution (CC BY) license . Safe destruction of records. 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. Each year, Federal agencies are required to conduct a Records Management Self-Assessment (RMSA) and submit the findings to NARA. Your business has defined and allocated records management responsibilities. Word; Download . Does this training program  get reviewed and  updated regularly to stay current? 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. 16: Not yet implemented or planned; 0: Partially implemented or planned; 0: Successfully implemented; 0: Not applicable; RED: not implemented or planned. Did you know that all records covered under the GDA must be … This checklist covers recordkeeping requirements under the State Records Act and Standard on records management. This requires maintenance, monitoring, and adjusting the process if necessary. Sample to be tested 100% of each of the following record types: Leases Maintenance Contracts Etc. Ownership and responsibility . Repeat after me: Reliability ensures 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. This tool is divided into three sections: As-Is Checklist, To-Be Checklist, and a sample workflow process diagram. RECORDS MANAGEMENT CHECKLIST For All StAFF Do you know who the records officer is for your area? Records management responsibilities should be written into job descriptions. For more information refer to the Guide worksheet. Our main duties are to preserve Government records and to set standards in information management … Have you created a disposition policy considering relevant organizational practices and regulations? Checklist AIIM's Record Audit Checklist ensures that you have your bases covered when preparing for an audit. Is your data backed up? Strategic planning and resource allocation. With a strong plan in place, your team will be prepared to handle these requests more efficiently, allowing you to focus on your priorities. But we'd like to make something very clear: proper records management is not about ''reaching compliance.' If not, how can you identify a more fitting alternative? Who is responsible for what in the records management process, and have they been given appropriate permissions? With everything implemented and regularly monitored, the final step of the records management life cycle is records disposition. Have you considered  relevant  laws on federal, state/province, and local municipality levels that could affect your records management program and retention schedules? 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 … 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. Have you developed a  timetable determining  scheduling around the lifecycle of your records? For example, improved information architecture, data management, business analysis and procedures. Have both internal monitoring practices and external audits been implemented  with appropriate employees and  agencies? 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 policies and procedures  been developed ensuring that information with all levels of confidentiality are properly safeguarded and  marked immutable if necessary? This page; Format. 3.2 Caldicott Guardian The Caldicott Guardian is responsible for reflecting patients’ interests regarding the use of patient identifiable information and ensuring patient identifiable information is shared in an appropriate and secure manner. Do you perform regular Vitals Records Reviews? Download options (Opens download panel) Download options. 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. Ask yourself the following questions: Have you written a classification scheme for  your records? If you already have a corporate risk register, you can use this to include risks to records management functions. RECORD Checklist (Word document) The RECORD Statement is now in press at Plos Medicine . After a simple, well documented process has been created, you must stick with it to truly ensure compliance. Is this solution meeting your needs? If no, clarify who is responsible for which data. Records Management Audit Procedure, Version 1 Objective ID: A25117857 5 | P a g e 3. 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. Recommended actions & relevant guidance ; Action taken/explanation of why not being done . You may combine this with other roles within your business. Overall rating. 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. 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