Is this solution meeting your needs? Checklist AIIM's Record Audit Checklist ensures that you have your bases covered when preparing for an audit. 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 … Your overall rating was red. Are the training sessions provided periodically to keep all employees up-to-date? Are these schedules fitting for appropriate business units? 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. Are there set responsibilities around who is authorized to preform disposition approval reviews? IT Systems and Records Management Requirements Checklist. “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”. In other words, it is a sort of internal manual of how quality is maintained within the company and with its output. Records management is a simple yet crucial process for any business. Awareness materials might include posters, office-wide emails, intranet updates and records management content in newsletters. The explanatory document and checklist are protected on a Creative Common Attribution (CC BY) license . GDPR impacts across many areas within an organisation. 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. At the end of it all we can't say it enough (so we'll reiterate once more): compliance stems from reliability. How have access controls been set? Does this training program get reviewed and updated regularly to stay current? Key evidence in support of each element is listed throughout this Plan, and these documents are provided to the Keeper. 2. 'Compliance' is a commonplace term in the records management world. Have you created a disposition policy considering relevant organizational practices and regulations? Stay reliable, ask the following questions, and execute on your scheduled disposition dates. Our main duties are to preserve Government records and to set standards in information management … Scope, Key Risks and Approach 3.1 … 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. 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. For example, improved information architecture, data management, business analysis and procedures. If you already have a corporate risk register, you can use this to include risks to records management functions. For agencies to make the best use of their resources … Indicator / /NA . 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. For more information refer to the Guide worksheet. Records Management Rapid Response Checklist. The UKâs independent authority set up to uphold information rights in the public interest,Â promoting openness by public bodies and data privacy for individuals. If not, how can you identify a more fitting alternative? Download this records management checklist as a PDF. We'll say it plainly: not following through with a scheduled disposition will compromise compliance. Complete the appropriate Records Management audit checklist, ensuring where necessary that documentary evidence, including outcome of any compliance testing, is appended. 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? This isn't the first blog post to iterate how critical it is to have a compliant RM program. This isn't the first blog post to iterate how critical it is to have a compliant RM program. Is your data backed up? 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. Reliability stems from a well documented program and simple-to-follow processes. If no, clarify who is responsible for which data. Broken down into 11 key areas, the checklist will guide you step-by-step through each phase of preparation. records management inspection checklist . Has there been any thought towards identifying non-official records (i.e. Does the records retention schedule allow for easy records management and evaluation (ex: external audits)? 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. Do you have too many classifications, could they be cut down and simplified? 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? Overall rating. When developing this retention schedule, did you consider best organizational practices? Each year, Federal agencies are required to conduct a Records Management Self-Assessment (RMSA) and submit the findings to NARA. A policy will address how records are used within your business in a consistent manner. * Organisational arrangements to support records management, The National Archives website. 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. Does your organization have both paper and electronic records? Download options (Opens download panel) Download options. 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 a strong plan in place, your team will be prepared to handle these requests more efficiently, allowing you to focus on your priorities. This review should identify what might go wrong with a process and why. Ownership and responsibility . 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. Do you perform regular Vitals Records Reviews? Are there opportunities for fusing classifications based on shared retention schedules? 1. You should report on performance to key performance indicators (KPIs) periodically to management to provide assurances on compliance. The goal of the self-assessments is to determine whether Federal agencies are compliant with statutory and regulatory records management requirements. Strategic planning and resource allocation. 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. For example, patient medical records, billing information and cost reports are areas that should be guided by clear healthcare records management policies and … 1. Sample to be tested 100% of each of the following record types: Leases Maintenance Contracts Etc. 1.1 Records management organisation. During inventory, it is useful to ask: What are your organizational records and where are they stored? 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. It's about ensuring compliance by implementing and then sticking to the process. Records management responsibilities should be written into job descriptions. Where resources are available, you should nominate an appropriately skilled records management lead to coordinate the management of records within the business. 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