Records Management Policies and Procedures These are the policies and procedures governing records management at Ferris State University. 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. You can then identify which of your records are at greatest risk for information loss or unauthorized access and apply your efforts there. 4.6 All records should be kept in safe and secure custody (either in records … All updates to Records Management Procedures and Records Retention Schedules are posted to the website. Directives Cancelled. Martin Garland, one of the three founders of Concept Searching, now part of Netwrix Corporation, has over 27 years’ experience in search, classification, and enterprise content management. 4.2. This policy covers all types of records, regardless of physical characteristics, that are created, generated, received; recorded as evidence of the organization, its functions, policies, decisions, procedures, operations, or activities; or documents legally filed in the course of business or legal obligations. Since the people in an organization change over time, your policy should not specify names but roles. It provides the institutional memory of the regulatory and business environment that led to the policies, along with the recordkeeping Knowing how that environment influenced your organization’s information governance will enable the people who inherit the policies to make more informed decisions about what to modify or remove, so they can avoid changes that could land the organization in trouble. Business system owners are responsible for ensuring their systems are compliant with Standards issued by PROV and the capture of records within these systems meet the requirements of PROV Standard 11/07 - Capture. The Principles: A senior executive (or person or comparable authority) shall over see the information governance program and delegate responsibility for records and information management to appropriate individuals. Many companies still rely on a “save all” approach when it comes to protecting data. 1. At the center of your records management program are your records management policies. A comprehensive policy and procedure management system should be a pillar of an organization’s compliance and patient safety activities. Whether you have paper archives, electronic records, or a combination of both, our team of experts will guide you through a consistent implementation process of managing records to save money, automate workflow, and mitigate compliance risks. Information Governance Software to Reduce Data Risks. Depending on the information type – whether electronic or physical – storage locations may vary. Electronic records can be stored and retrieved from an online document management system, also known as DMS. They also serve as the organization’s institutional memory regarding the establishment of the policies. Here we’ve provided an overview of  records management procedures that will set your RIM program up for success: Today’s increasingly digital environment is fast-paced, creating information quickly and in various formats. Personnel Concerned. This is especially important if they appear to be in conflict. All SBA employees involved in the creation, 3. These provide more in-depth answers to some of the topic discussed in the Records Management FAQ page, as well as some additional topics. An efficient approach to policy and procedure management is standardized, has designated leaders and provides easy access to all updated policies and procedures. Indexing parameters, including date, subject matter, creator, and location of the record, are essential to retrieving information promptly and efficiently. At the center of your records management program are your records management policies. Before you go, grab this eBook — it explains how you can make your information governance stronger with proper data discovery and classification. 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 … For simplicity this guide will continue to refer to the policy as a records management policy. VRC is committed to transparency. The task of deploying and maintaining any technical tools needed to implement the policy typically falls to the head of the technology support division, which is often the CIO. They need to be specific, include links to sources and list all the factors involved. Accordingly, the policy specifies who is responsible for executing policy but not how. When determining the retention period for your records, it’s important to: By setting a records retention schedule, your organization will benefit from the management of information assets, control storage costs, improve records retrieval, and eliminate legal risks. Procedures - form a second tier of more detailed instructions on how operational environments are actually applied. University staff in a supervisory capacity are responsible for monitoring and supporting staff to ensure they understand and comply with records management policies and procedures. Policies and procedures set the standard for a compliant records management system. 2. Finalize your records retention policy by using shredding services with chain-of-custody procedures and NAID certification to destroy backlog files in a compliant manner. Recordkeeping systems and tools. 2. Businesses can encounter trouble when it retains documents for longer than required, including data breaches and hefty penalties. The records management policies and practices should be communicated clearly and applied consistently throughout your organization. Not only does this waste time and money, but it puts an organization at risk for noncompliance. Employment equality: Most of the company follows these human resource policies for the sake of better opportunities. 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. Get expert advice on enhancing security, data management and IT operations. St John RTO will have a robust and secure electronic Record Management System in the St John RTO Learning Management System (LMS) in place for its participants training records. Martin was instrumental in setting the strategic direction for Concept Searching and navigating its acquisition by Netwrix Corporation. His keen understanding of the information management landscape and his business acumen provide a solid foundation for guiding organizations to achieve their business objectives using best practices, industry experience, and technology. A person with a seat at the executive decision level needs to understand the records management requirements and be involved in ensuring the policies are implemented. Establishing how long to retain records involves the implementation of an accountable records retention policy. For agencies to make the best use of their resources … 1. Records Management SOP Page 5 of 10 Standard Operating Procedure SOP Ref: SOP/156/08 NOT PROTECTIVELY MARKED Version 1.2 February 2009 established policies, procedures and standards. REV Records Management Program SEC 00 N 41 2 TION O. 4. This article explains some of the finer points of records management. Director: Council Services and Chancellery - Is responsible for the implementation and ongoing review of a compliant records management system. Martin’s expertise has assisted multi-national clients in diverse industries to understand the value of managing unstructured content to improve business processes. Mitigating the damage often requires far more resources than you would have spent to prevent the problem. To outline the procedures for records management for the Agency. Without these matters of a subject, no human resource policies could have been formed. Records management is an important part of your overall information governance strategy. The Importance of Records Management Policy, Implementing Your Records Management Policies, A Data Risk Assessment Is the Foundation of Data Security Governance. A contributing factor of a successful records management program is the ability to access your information when it’s needed. 141.3 Office of the City Clerk - Policies and Procedures Manual (PDF, 81KB) 141.4 Office of the City Clerk - Records Retention Committee - Organization and Policy (PDF, 72KB) 141.5 Office of the City Clerk - Public Records Requests (PDF, 31KB) 141.8 Greenwood Cemetery - Organization and Policy (PDF, 72KB) Afterwards, you can slowly expand your organization’s capabilities until all records are properly managed. Employees may also contact the University Archivist at (860) 486-4507 for further information. Records Management Policy 3 4.5 The disposal actions undertaken will be documented in the transfer lists of the Archives, or the destruction register held by the Records Management and Administration department. See how we’re responding to COVID-19 and please contact us if you need immediate assistance. Table of Contents Objectives 1 Who This Procedure Applies To 1 Procedure 1 1. Skilled staff. Your records management program should support policies and procedures both legally and operationally. This collection of procedures provides Records Custodians the proper procedures for managing records, including paper, electronic, and film formats. Together they can strike a path forward to meet the organization’s needs and prioritize the work to be done. The organization adopts policies and procedures to guide personnel and ensure that the program can be audited. It also helps you ensure compliance with government laws and industry regulations. The most important component of records management is assigning responsibilities to specific individuals. That is why we have created a sample records management policy that your organization can use to get started — it lays out what you need to include in your policies, using financial records as an example. Suggestions for revision of or additions to the policies and procedures are welcomed by anyone. They should include the management of all records and media types, including email. It makes your records retention and records storage decisions more defensible. Tracking who officially approved a particular policy is straightforward, but it’s also critical to specify who has long-term responsibility for the various aspects of the policy. Ownership of the policy rests with the Chief Information Officer who is responsible for reporting to NSW State Archives regarding compliance with l… While it is easy to define basic retention rules, it is equally important to document the context for their maintenance and execution. 1.2 Authority of this standard © 2020 Netwrix Corporation. If your organization renames or eliminates a role named in a policy, you will need to update that policy. As volumes of information rise in today’s ever-changing regulatory environment, it’s become a necessity for companies to implement consistent and accountable records management procedures. Respond immediately to legal or administrative notification of holds on destruction of records relevant to litigation, government investigation, audits, or other legal or administrative matters. 4.6 Personal Information Personal data is defined as Information relating to an identified or identifiable natural person (‘data Decisions are documented or reflected in specifications for systems and metadata schemas. Policy 1. 5 Essential Records Management Procedures, Frequently Asked Questions About Offsite Records Storage, Digitization: Why Outsourcing is the Smart Solution, The Importance of Document Management and Storage, 5 Benefits of Automating Your Accounts Payable Process, Perform a record inventory of all physical and electronic records, Establish a standardized record classification system, Conduct research on all federal, state, and local requirements, Retention schedule complies with up-to-date laws and regulations, Indexing accuracy and accessibility of documents, Training and communication among staff and departments, Timely and consistent destruction of inactive files, Determine the type of shredding program suitable for your media or paper records, Ensure all access personnel are background screened at the local, state and national level, Provide a certificate-of-destruction for chain-of-custody documentation. 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