Records required for any legal action (including cases which have not yet begun but are reasonably likely to occur) must not be destroyed until the completion of the legal proceedings, regardless of the retention period specified in the BCS. As a functional extension of the Records Management Policy, the DePaul University Records Retention Schedule documents the responsible department and retention period for all known records at the university. In this section, you should outline the purpose of the policy and detail the business drivers for creating it. Records Management Policy A policy to establish a framework for the creation and management of records at teh Attorney General's Office. Document Management Policy and Procedure Revised 10/15/08 Page 3 of 5 2. Document management: tracking and storing electronic documents and/or images of paper documents, keeping track of the different versions modified by different users, and archiving as needed.A document management system (DMS) is technology that provides a comprehensive solution for managing the creation, capture, indexing, storage, retrieval, and disposition of the records and … The University of Otago will ensure that all staff comply with the Universit… Exceptions must be approved by the Executive Owner and Policy Owner. This is optional and not all electronic management systems may support this behavior. If your organization has multiple records policies (e.g., finance, manufacturing, HR), it is useful to have a core records policy that defines the overall corporate responsibilities and includes an index delineating the individual records policies. However, note that in many organizations, the CIO does not report directly to the CEO or serve more as a Chief Technology Officer (CTO) and therefore might not fully understand the business side of the information they manage. Additional policy and guidance addressing e-mail and web/portal records will be forthcoming in the Records Management Manual and the Records Management Handbook. These policies define what information your organization must keep as a record, the procedures for managing those records, their retention periods, and procedures for ensuring their secure destruction. Detail any specific rules and regulations your organization is meeting by implementing this policy and any additional considerations. This policy should be tailored by the party responsible for the custodianship of an agency’s or department’s electronic records to the agency’s specific electronic records management practices wherever applicable and should provide as much detail as possible. This is easier with documents that are process-centric or that can be broadly categorized, e.g., financial documents. This is the senior person who directly uses the records covered by the policy. You should structure it so readers can readily identify all relevant information. This document is frequently updated with … This section lists the roles and responsibilities for the policy. Table of Contents Objectives 1 Who This Procedure Applies To 1 Procedure 1 1. Retention schedule: The detailed policy outlining how long a record is kept and what happens to it through its lifecyle. Clearly indicate if this is a draft version that is still under review. • Formalize records destruction practices and destroy records consistently and systematically. This section is a collection of the key information for the records policy. There can be several categories defined to correlate to different rules and regulations. This Advice identifies the benefits of having a Records Management policy, and outlines the steps involved in its development and implementation. (3) This policy does not apply to related organisations such as student associations, clubs and societies, o… Records Management (AS ISO 15489.1-2002, s.3.16): Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposal of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the forms of records. While records management occurs across an entire organization, a single person needs to take responsibility. This may be the same person as the policy owner, someone on the policy owner’s staff or a dedicated position within the organization. 1. Final disposition must be approved by the Policy Owner. For historical purposes, all public quarterly and annual financial reports should be retained as permanent records. The purpose of this policy is to provide guidance and direction on the creation and management of information and records and to clarify staff responsibilities. 1-86-NARA-NARA or 1-866-272-6272, Department of Defense (DoD) Standard 5015.2, Records Management Self Assessment (RMSA), Records Storage Facility Standards Toolkit. Specify who and what aspects of the organization’s business and business transactions the records policy covers. According to the ISO 15489-1:2001, records management involves tasks like setting policies and standards, assigning responsibilities and authorities, establishing procedures and guidelines, providing access to management and use of records, and integrating records management into … The records management program is intended to maintain, protect, retain and dispose of records in accordance wit… Information Management Policy State Records Act 2000 (WA) Freedom of Information Act 1992 (WA) 2. If a record is particularly sensitive, additional approvals may be defined.]. The relevant federal regulatory requirements come from the SEC and the IRS. The purpose of this policy is to provide guidance and direction on the creation and management of information and records and to clarify staff responsibilities. These and many other Guiding Principles of Compliant Records Management are listed after each of the five Best Practice areas. Detail any specific rules and regulations your organization is meeting by implementing this policy and any additional considerations. 1. At the center of your records management program are your records management policies. Published 28 July 2015 From: To use it for your organization, you need to fully understand the rules and laws that apply to your organization and modify the sample text accordingly. Scope of the Policy This policy applies to all records created, received or maintained by … Choose a name for the policy that clearly identifies its scope, especially if your organizations has multiple policies. This sample records management policy is designed for financial records, but it includes all components for other types of policies. If possible, declaration and categorization of records should be fully automated. The main elements that should be … As such, all financial records should be retained for a minimum of five years. All records are, by default, read-only and cannot be deleted. Alternatives include the Chief Finance Officer (CFO), Chief Operations Officer (COO) or Chief Information Officer (CIO). Records may be kept for longer if there is an ongoing business need to do so. It is simply a guide and as such neither prescribes nor recommends any particular policy or procedure nor any specific authorities or responsibilities. Below is a template for a records management policy. In that situation, the individual policies would reference the corporate records policy and include only the sections relevant to the scope of the individual policy. List this is the date that the policy is to take effect. Information Governance Steering Group (IGSG) - has responsibility for agreeing the records management policy and considering and Note the continuation of the numbering scheme from the policy name. The goal is to remove the burden, real or perceived, of records management from the average employee. This collection of procedures provides Records Custodians the proper procedures for managing records, including paper, electronic, and film formats. (1) The University recognises records as the corporate memory of the institution. and minor versions (1.1, 1.2, 1.3, etc.). In this section, you should outline the purpose of the policy and detail the business drivers for creating it. Record: A document or other piece of information that has been declared a record and placed under retention. Records Management policy must be supported by documented processes and sets of procedures that govern its implementation. The IRS states that all financial records need to be retained for up to seven years depending upon the filing conditions. This policy applies to all finance staff across the entire organization. Document Control Measures shall be established to control the issuance of documents, such as instructions, procedures, and drawings, including changes thereto, which prescribe all activities affecting quality. Provide the name and official role or title of the person who provided the final approval. The records management program is intended to maintain, protect, retain and dispose of records in accordance with operational needs; federal, state, and local government regulations; fiscal and legal requirements; historical value; and business reference purposes. If you have multiple policies, it is best to simply provide a link to an external resource with the definitions, so they are consistent for all policies and you don’t have to update every policy when you modify a definition. USA.gov, The U.S. National Archives and Records Administration Retention period: The duration for which a record is retained. Some roles and responsibilities, such as the Executive Owner, may be the same in multiple records policies. It specifically covers all aspects of the organization’s financial business and all financial information created or received. It depends on the volume of both paper and electronic records as well as the level of automation implemented within the organization. For internal operational needs, all financial records need to be retained for the purpose of performing financial analysis of the company over time. It covers information and records stored in all formats, including: The policy also covers all applications used to create, manage or store financial information and records, including the official records management systems, email, websites, social media applications, databases and financial management systems. The system will purge all previous versions and only the final version is retained as a record. Typically this is be the CEO, the General Counsel or the person with ultimate responsibility for records policies. A document can have a major version (1.0, 2.0, 3.0, etc.) The Sarbanes-Oxley Act of 2002 requires that all financial reviews and audit material be retained for five years. Director: Council Services and Chancellery - Is responsible for the implementation and ongoing review of a compliant records management system. Exceptions must be approved by the Policy Owner. ], [Outline any specific restrictions to the content once it is declared as a record.]. The Act requires all federal agencies to create and preserve records that document the agency’s organization, function, policies, decisions, procedures, and transactions. The Records Management Policy and Outreach Program, under the Office of the Chief Records Officer for the U.S. Government, is responsible for developing Federal records management policies and guidance related to records creation, management, and disposition with an emphasis on electronic records. Establish a records management team to develop and implement a strategic plan for the program … Samples and examples are just that. Records management establishes policies and standards for maintaining diverse types of records. adopted accordingly. Specify the version of the policy. Some, but not all, documents within an organization become records. Committee for the Protection of Human Subjects (CPHS) CPHS records shall include copies of all research proposals reviewed, scientific evaluations, if ], [Note the phased retention periods. Information Management Committee Providing leadership, direction and strategic advice on the planning and delivery of the Information Management Strategy, Roadmap and Action Plan in alignment with USCs Planning Framework. List the date the approver gave the final approval. This field is optional. Record Management The policies and procedures that govern systematic control of all records from their creation, or receipt, through their processing, distribution, organization, storage, retrieval, retention and ultimate disposition. (10) The BCS specifies the minimum time frames records must be retained. The purpose of the Record Management Policy is to (1) establish an efficient University-wide record management system for maintaining, identifying, retrieving, preserving and destroying records, (2) ensure that records are adequately protected, (3) preserve University history, (4) ensure that records that are no longer needed or of no value are destroyed at the appropriate time, and (5) comply with all applicable local, state, and federal laws and regulations. This policy incorporates two additional forms, the Ownership of the policy rests with the Chief Information Officer who is responsible for reporting to NSW State Archives regarding compliance with l… Corporate Document and Records Management Policy. This example lists the General Counsel, but many organizations do not have a full-time senior legal staff. Employees are urged to visit this website to keep up to date as changes to the procedures and/or the Records Retention Schedules can and do occur. IAOs will nominate a Local Records Officer to take the lead on records management issues in their department. All edit, delete and versioning rights are removed. This outlines the records covered by the records policy and their retention schedule, defining how they are to be managed, made available and eventually disposed of. • Write Records Management Policies and Procedures and apply them consistently. This role is the business owner of the domain of the business documents. The scope of this role will depend highly upon the maturity of the electronic records management program. Document control and records management are addressed in 10 CFR 50 Appendix B as follows: VI. Statement. The University values records as a vital asset in supporting its daily functions and operations, and will provide systems and support for this purpose. The policy is usually supported by procedures dealing with day-to-day records management operations and by disposal schedules. Disposition: The action taken on a record at the end of a retention period. It has been developed in consultation with staff and will be revised on a regular basis. The correct management of information and records as defined by these procedures and related policy. Regulatory links [link to both internal and external references by name and when possible, a direct link]. This procedure applies directly to policy 6701, Records Management. List is the date that the policy expires. applicable must be considered as such in accordance with DOE O 243.1, “Records Management Program.” The same holds true for documents posted on websites and portals. Please note that it is not permitted to scan records and destroy the originals, unless a Records Conversion Plan has … [This is the specific category of records that apply to this record. There are no additional requirements from state or local authorities. It is recommended to group documents into a smaller number of “big bucket” categories to simplify the implementation of the records policy. 2.2 Records created, received or discovered which contain information that may allow people to establish links with their Aboriginal or Torres Strait Islander heritage will be protected and made accessible. [For some records policies, a generic retention should be specified for all documents that are in the scope of the records policy but that do not fall into a specific category, as shown below.]. Purpose and Scope This policy outlines our responsibilities for the creation and management of records within the Bank of England. • A retention and disposal programme ensures that SAQA maintains only those records it … read our, Please note that it is recommended to turn, Data Security and Protection Policy Template, Information Security Risk Assessment Checklist, Modern Slavery Data discovery, classification and remediation, We use cookies and other tracking technologies to improve our website and your web experience. This procedure provides a summary of the requirements for OHS records management at Monash University in accordance with the legislation outlined in section 7.1 of this document, the University Records and Archives policy and with Standards AS/NZS 4801:2001 LEGISLATION/POLICY SUPPORTED. This document provides advice and guidance to all NHS England staff with regards to the creation, management, storing and disposal of records. Records management includes the functions of document management described above, plus: … Records management is defined as a field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, distribution, storage and disposal of records. Accessibility, Indexing, and Storage. Records Manager – is responsible for: Developing records management policies and procedures for University as a whole; Establishing corporate standards for records management The document is considered a record after this process is complete. For example, the retention periods listed might not comply with the regulations your organization is subject to. This is typically filled in only after the version has been approved. 2.1 The Directorate has requirements under the Act to make, manage and keep records to support its business needs, legal and regulatory obligations and to meet broader community expectations. Retention: The process of protecting and managing a record. A contributing factor of a successful records management … This handbook was created to assist you in developing policies and procedures to ensure the effective and efficient management of your programs and organization. Ideally this person answers directly to the CEO. Records and Information Management Procedures. To learn more, please 2.3 All staff, consultants and contractors must make and keep full and accurate records of their activities to en… comply with the records management policy and standards. PROCEDURAL DETAILS . Exceptions must be approved by the CEO, Executive Owner, and Policy Owner. This policy has been authorised by the Director and is available to all staff. UNCLASSIFIED Bank of England Records & Information Management Policy 1 POLICY: Records Management 1 FileSite is an Electronic Document & Records Management System (EDRMS). It applies to all Bank staff and to all records created and received by the Version: An iteration of a document. ], [This is what happens at the end of the retention period. In the case of a single records policy for the entire organization, this may be the COO or the same person as the Executive Owner. [Specify approval authority for exceptions and final disposition here. People should be listed by roles as defined in the next section of the policy. Record declaration: The process of taking a document or other piece of information, either paper or electronic, and placing it under records retention. Policy on Records Management Status: Approved Date: 2011-09-21 File Reference: 4 • Efficiency and economy are ensured by eliminating unnecessary duplication of records. Indicate if the policy covers the entire organization, a specific division or defined geographic area. Employees may also contact the University Archivist at (860) 486-4507 for further information. (2) This policy specifies the responsibilities of Western Sydney University, its employees, contractors, and its fully or partially owned entities, regarding the management of records. (b) The Records Management Programme is the management framework, which includes the people, and the recordkeeping and/or information systems required to manage and maintain full, authentic, accurate and accessible records over time. Indicate the business applications and systems the policy covers (email, electronic records, etc.). This is typically the owner of the IT organization that supports the Policy Owner. Document and Records Management Procedure is to ensure that documents and records are appropriately created, captured, accessed, managed and stored in a manner that reflects business, corporate and regulatory compliance requirements. This needs to be a role that is a member of the executive leadership team. 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