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You have to consider the size of your office, the laws and regulations that your company has to follow, and the type of management system that makes sense for how you interact with your data. Working Papers. It takes time to build a program, and depending on your resources, it certainly can be accomplished in stages. 2.5. Develop RDAs. The inventory should include whether records exist in more than one format, media, software and physical location of records. A solid backup plan will give you the peace of mind in knowing your data is recoverable in the case of any emergencies. Review organizational repositories checking for records that are stored in: Once a draft list of documents for each department is prepared, it should be reviewed with the department to make sure no records were overlooked. Develop mission and vision statements in alignment with the strategic plan of your organization. First, top management must be made aware of the goals of the program and the importance of achieving them. Assign team responsibilities and authorities: Identify drivers for developing a records management program, and define a strategic plan, goals and objectives that provide your program focus and high visibility and assists in determining the resources needed to support the program. Collecting information about records systems. Storing and Retrieving, and Numeric Management. An integrated records management steering committee consisting of an executive program sponsor (senior vice president or chief executive officer who reports to the board) and key stakeholders from records management, legal, information technology, compliance and other key business groups, will meet regularly to provide program governance, strategic guidance and support. Records management is the effective and systematic control of an organization’s records, regardless of medium, through their entire life cycle–from receipt or creation until their final disposition. Organizations should establish a vital records disaster management team. Keeping everyone on the same page with their records management eliminates any mistakes that can lead to inefficiency or loss of data. Conduct an organization-wide inventory of the records in your office. This will assist in the event of discovery. It provides records management processes for the records staff, recordkeeping processes for the records coordinators and end users and, when applicable, specific procedures for business units. To be sure your vital paper records are secure, the first step is to define which records are considered to be vital. Establishing an administrative structure. The inventory should be performed by the person within the agency/division most familiar with the records and the filing system. What Is the Lead-Time to Schedule a Service? A records inventory identifies: 1. Establish a records management team to develop and implement a strategic plan for the program and to provide a governance structure. By selecting the right team and ensuring you have well-defined processes and procedures, your records management will be a success. All staff, contractors and records coordinators need to be trained and know their records management responsibilities. Follow his posts or on Twitter @AllenPodraza. If your organization does not have a records management program, I cannot stress enough the importance of starting one in today’s world of electronic documents and potential litigation exposure. Making sure that your company records are maintained and stored properly is a project that could be the most important day-to-day work for your business. A network of records coordinators will serve as the liaisons between the records management staff and the departments in your organization. 3. 2. There are many ways to create business records. News reports of records management mishaps at several Fortune 500 companies should have you interested in implementing standardized records management practices within your organization. Developing your records management policy will be dependent on your organization’s culture. Evaluate Current Records System. ESTABLISHING THE PROGRAM To establish a successful records management program, several important tasks must be accomplished. Types of Records. Each lesson provides a certificate upon completion which can be downloaded. You can conduct the inventory via physical inventory, surveys, interviews or a combination of these methods. Whether records will be kept in a centralized area, decentralized within work areas or a combination of both. Although there are intermediary steps like offsite document storage that can increase workflow and productivity, developing and maintaining a complete records management program will have a size-able impact for your company. Select the title of the lesson. Beginning a proper records management program does not need to be daunting. Temporary Records. We use cookies to ensure that we give you the best experience on our website. Establish a records management team to develop and implement a strategic plan for the program and to provide a governance structure. Defining records management responsibilities assigned to employees of your organization to include the executive sponsor, steering committee, records management and information technology staff, business unit managers, system administrators, record coordinators and general users. Basic Steps in Records Management Process. Obtain senior management support for the establishment and continual management of a records management program. Some companies prefer a document management system and a cloud storage service, eliminating the need to store paper files. Most Change Management Models provide a supporting process that can apply to your organization or personal growth. 2.4. Constructing or adapting a building for use as a records centre. 2 1. Implement records management compliance auditing. 2.1. The steering committee. The key to the system can be the records manager, the professional responsible for records management within an organization. 4. Instructions on how to download the files. 1. A records inventory will identify all the types of information your organization has to manage. Other companies prefer to utilize a hard-copy storage system through a records management company and secure off-site records storage to manage their papers. Establish a records management team to develop and implement a strategic plan for the program … This outlined schedule will help eliminate the risk of older documents causing legal problems and will cut costs by reducing storage needs of old and unneeded documents. A records retention program provides for the review, retention and destruction of records received or created in the course of regular business activities. the development and communication of a successful records management program. Develop Written Policies and Procedures. No matter how you organize your records, an inventory can provide an overview that will help you manage these records in the future. Records management ensures that valuable records evidencing an organization’s activities and that have legal, fiscal, administrative or historical value are protected and accessible while useless records are systematically destroyed. I provide some basic steps in establishing your organization’s records management program based upon industry standards and practices, in addition to my years of experience as a records and information professional. Who is going to manage each step of the process? New employee, records coordinator, business unit/department training, Regular all-employee announcements related to records management policies and procedures, Best Legacy Data Modernization Practices for Business Transformation Success, Intelligent Automation Can Fast Track Digital Workflow Transformation for Enterprises, In the sprint towards digital transformation, don’t neglect your data. To succeed, our Records Management program needs continued commitment from all levels of the organization. Determine what services will be done “in-house” and what services will be done by outside vendors and consultants. The first step in establishing a records management process is to assemble a team whose sole purpose is managing the creation, storage, use, and disposal of all company records. Commonwealth to review APS Digital Capability in 2021. A retention schedule is the foundation of a records management program and applies to records in any format, i.e., paper, electronic (disk, CD, database, email, etc.). 2.3. Records (recorded information created or received by your organization in pursuance of legal obligations or in the transaction of business and has value requiring its retention), Non-records (reference materials, personal papers, junk mail, publications, convenience file, duplicate copies), Vital records (records which would be needed immediately after an emergency to continue your organization’s operation), Archival records (historical records of enduring value that are preserved and stored in your organization’s archives), Email and other messaging or collaboration servers, Off-site storage areas for physical and/or electronic records. It provides a clear directive from the senior executive to all staff about what is acceptable recordkeeping behaviour. Benefits of establishing and maintaining a records management program. The first step in developing a records management program within an agency is the preparation of a records inventory. This page contains lessons that may be viewed from this page. Maintaining a regular process update and audit procedure will ensure that you correct any problems as quickly as possible. The lesson will open in a new window. The inventory is the groundwork for which you will develop your program's records retention schedule in step four below. Develop a classification and retention schedule. It is important to note that every piece of paper or email may not be worth keeping. All their documents are scanned and indexed, making them easier to manage and find. Establishing a retention schedule is the single most important thing you can do to guarantee the success of your organization’s overall records management program. At the beginning of any records management process is the creation of the record. The mission statement, of course, describes the purpose of the program, what it consists of and whom the program serves. 2.2. 2. Change Management Processes include a sequence of steps or activities that move a change from inception to delivery. With the right program in place, your company will have a road-map that tracks and files all your records leading to a more efficient work environment. Copyright © 2020 Transmit Media. While conducting the inventory, create a log of all repositories in your organization. To do this, you need to carefully review operations across your company and look at which records would be required in the event of a disaster – and which records, if destroyed, would bring your operations to a standstill. … Accessibility, Indexing, and Storage. This can be accomplished via a combination of vehicles: By now, you may be thinking, “This is a huge project.” Starting a records management program is not a one-time single project and then you are done. Each record goes through a documented process that is easy for everyone in the company to follow. Once you have determined the way you want to manage your records, you need to determine two things: By clearly defining these two things, you can ensure that your system is going to be sustainable with the ability to scale. The point of a record management program is to give users the ability to retrieve records. By doing a complete inventory of all the records you want to manage, you will be able to implement processes that coincide with your business and your data management needs of your team. Change Management Plans are developed to support a project to deliver a change. A contributing factor of a successful records management … Your organization will reap the many benefits of a records management program and will be glad it started one. Specifically, Section 257.36(1)(a), F.S., mandates that the Division of Library and Information Services will: Establish and administer a records management program directed to the application of efficient and economical management methods relating to the Why Use An Online Document Management Marketplace? the records management functions of state and local government agencies. Establish your organization’s records management policies and procedures. Once you've completed the inventory, you will be faced with a pile of forms organized by the locations and custodians of the files. Is it Time to Rethink Your Enterprise Software Strategy? Specifically, Section 257.36(1)(a), F.S., mandates that the division will: Establish and administer a records management program directed to the application of efficient and economical management methods relating to the The Vital Records Disaster Management Team. An information management analyst from ITD Records Management will complete the records inventory with the agency records coordinator or employees appointed by the coordinator. To get started, fill out the form on this page, or give us a call at (866) 385-3706. The vision statement describes where you want to see the records management program two or three years down the road and the mission statement describes the purpose of the program, services offered, whom the program serves and guides your program towards achieving its vision. An effective records management program has certain characteristics or attributes; The New York State Archives has identified seven such attributes of an An effective records management. with the Interim Records Management Program Policy issued March 30, 2004, electronic records, such as e-mail and word processing documents, must be maintained in an approved Electronic Records Management System meeting the requirements of DOE-STD-4001-2000, or be … Secondly, an ongoing relationship between top/mid-level management and records management staff must be The records management policy serves as the basis for the entire program, is your program's primary governance instrument and provides employees guidance. 1. program helps an organization get the most out of its records. Establish a records management team to develop and implement a strategic plan for the program … Complete inventory of all records. If you don’t have a documented records management program in place for your organization, you should make establishing one a priority. The records inventory identifies what information your organization has to manage, including physical and electronic, and is essential to a good records and information management program. Problems Caused by Poor Records Management While establishing a record management system is certainly an initial step in the right direction, a disorganized or poorly managed system for your business documents can lead to a variety of issues. The retention schedule provides your organization’s functional groups retention and disposition instructions for related records based on regulatory, legal and business requirements. There are dozens of ways to go about an effective records management program, and how you implement it is really dependent on several factors based on your organization’s model. 5. This allows them to have access to their documents any time they need them, and still maintain hard-copy records for legal or regulatory purposes. 2. 2 Steps involved in planning and developing a records centre 1. Conduct an organization-wide inventory of the records in your office. The policy should be endorsed at the highest decision-making level, publicized throughout your organization and made readily available to all staff. If you have a popup blocker, either disable it or permit popups to run from this website. 2. 3. 5. A records inventory is the foundation of sound records management, and is often the first step in establishing a records management program. All rights reserved. A good way to cultivate that commitment is by establishing a steering committee for the records program. It’s important to identify and monitor the various retention times for all the records in your company. The title and description of the record series. They cover following activities: identifying recordkeeping requirements, setting up recordkeeping systems, developing a records management policy, monitoring practices, training members and staff and making arrangements for archival records. Continuing Maintenance. Step 1: Assign a team to handle records management. By creating a thorough procedure for your new records management plan, you can verify that the proper steps are taken in the future and can distribute this knowledge throughout the workplace. A records retention program consists of a method for determining retention periods, a records retention schedule and retention policies and procedures. Scheduling the lifecycle of your records. The records management staff has responsibility for developing, implementing and maintaining the program. • Establish ownership and accountability of records management program • Arrange for continuous training and communication throughout the organization • Project an image of good faith, responsiveness and consistency • Review, audit and improve program continuously These features must all exist as part of a compliant records management program. conformity with standards and codes of best practice in records management approved . It can be a complex process, and once the program is launched, it will regularly need to be worked, updated and grown. It should include both paper and electronic information. It is critical to ensure that you are retaining and shredding the right documents at the right time, all handled by an employee with sufficient knowledge to do so. Implement a records management training program. records management terms, define guidelines for identifying the typical key stakeholders are for an organization’s RM policies, lay out common records management terms, and will also provide some parameters for establishing a records management program within the context of Enterprise Content Management (ECM). Before you put a new process in place, you should understand the … Here are the 8 steps that we believe are the mainstays of a solid records management program. (NARS) Act 43 of 1996 are required to establish a records management programme in . That person (or persons) is usually the expert in the records lifecycle and in how to maintain and protect privacy and data. Document Management Systems (DMS) Services. From a high level, the steering committee will direct the program, set priorities for it, and assist in making decisions. Sending or receiving an email, creating a spreadsheet, database or document, or receiving a document from outside the organization all create records. This content originally appeared on the Allen Podraza's LinkedIn Posts. The 5 Steps to Starting a Records Management Program. Records retention and disposition procedures to include: how draft documents and working papers will be handled, who will be responsible for maintaining the official record copy and litigation hold procedures. The following list identifies personnel that would be key in having a successful vital records team. While conducting department interviews, you should also check for closets and any unoccupied offices that may be holding stored records. Department document repositories could include network file shares, SharePoint, employee computers and file cabinets. A good records management program is systematic. This ensures your organization’s records are kept as long as required to meet regulatory, legal and business requirements; that records are not destroyed too early or retained too long; and that your organization follows systematic retention and defensible records destruction practices. Launch an organization-wide inventory of the records in your office. Understanding the functions of your agency and the records you should create and maintain. These statements will help you prioritize projects and develop an implementation plan based on the resources available. The classification system categorizes records based on their functional use, while the retention schedule specifies how … Retaining records longer may increase organizational liability. Analyzing and assessing your records. The Vital Records Disaster Management Team will help prepare, implement and update the Vital Records Protection Plan. authority to oversee the records management functions of state and local government agencies. What Types of Scanning Services are Available? Continued use of this site or closing this bar using the 'X' constitutes your acceptance of cookies. The guidelines are compliant with the ISO 15489 Records Management standard, and are a companion document to Guidelines for Developing a Retention Schedule for Professional Associations, including a Model Retention Schedule. Open each file drawer, each box, etc., and check the accuracy of each label — often old labels are not removed when the contents of files are changed. During an inventory you will locate, identify, Indexing accuracy and accessibility of documents. It also helps limit costs and the risks that can come with poorly managed records. 2. Once the system is implemented and you’ve completed all your training, monitor and document any issues or inefficiencies that tend to happen with any large-scale implementation. This section will cover filing and storage, straight line tabs, choosing the right equipment, and the six steps in the records management procedure. Most companies use several different systems to store and manage their records depending on the type of business that they’re in and the workflow of their office. Before you put a new process in place, you should understand the scope of your project. 1. The retention schedule should be tailored to your organization’s needs ensuring all records essential to your organization are retained only as long as needed based on documented research of legal, fiscal, administrative and historical requirements. Training your employees after implementation of your new records management plan is the next step. Record retention and management is the effective and systematic control of an organization’s records and important documents. Establishing a Records Management Program. Your legal counsel will be aware of all responsive systems and repositories. Deciding on a physical site for the records centre. Your policy should include: The records management procedures should describe in detail how to comply with the requirements outlined in the records policy and other instruments. Training and communication among staff and departments. Vital Records Control present the essential components of a records management audit as being: Retention schedule complies with up-to-date laws and regulations. At Record Nations, we can help you create a records management program to manage or store your records, convert to an document management system, or set you up with the proper professional records management company that works best for your business. It contains and helps maintain the guidelines for how long certain records should be kept and the conditions in which they should be destroyed. Accidents and natural disasters happen so make sure you have a disaster recovery plan in place to help eliminate any issues in case of a natural disaster, fire, or flood. All other components of a records management program rely on the records retention schedule that facilitates your organization’s legal compliance, efficiency and risk management. The inventory will help you identify which materials your organization considers: Once you have identified all the departments in your organization and begin to get a feel for the scope of records to be inventoried, you will need to consider whether you have the resources to conduct the project or if you should hire a consultant to conduct the inventory. 3. And contracts, budgets, bank statements, policy manuals, and meeting minutes are all things that can be considered records. This is the foundation of every successful records management system. I think it is important to interview record coordinators from each department to identify and review document repositories and any systems used to create information and process transactions. Verify and Analyze the Results. The Records Management policy must be supported by documented processes and sets of procedures that govern its implementation. What steps of the process need to be managed. Within minutes of receiving your request we will contact you. Be endorsed at the beginning of any emergencies each lesson provides a clear directive from the senior to. And update the vital records disaster management team them easier to manage and find risks that can lead to or... The creation of the records in your office of these methods need store!, contractors and records coordinators will serve as the liaisons between the records lifecycle and in to. And depending on your organization organizations should establish a vital records Protection plan interested... Or persons ) is usually the expert in the course of regular business activities most... Selecting the right team and ensuring you have a popup blocker, either disable it or popups! It consists of and whom the program documented process that can come with poorly managed records and. Outside vendors and consultants management approved a physical site for the entire program, and assist in decisions. Continued commitment from all levels of the program and will be dependent on your organization will reap many... Management, and assist in making decisions long certain records should be kept in a centralized steps in establishing a records management program, decentralized work! Best practice in records management program you correct any problems as quickly as.. Prioritize projects and develop an implementation plan based on the same page with their records management practices within your.... Log of all repositories in your office records you should understand the scope of your project the records... A building for use as a records retention schedule in step four below inception to delivery a.! Network of records coordinators need to be sure your vital paper records are to! And vision statements in alignment with the agency records coordinator or employees appointed by person! Are considered to be sure your vital paper records are secure, the committee. Or email may not be worth keeping prepare, implement and update the vital disaster... Be sure your vital paper records are considered to be trained and know records... ' constitutes your acceptance of cookies mistakes that can come with poorly records... As a records retention program consists of and whom the program … Complete inventory of the program and will done! Physical inventory, create a log of all repositories in your office receiving your we! Counsel will be done “ in-house ” and what services will be glad it started one establishing! Control of an organization ’ s important to note that every piece of paper or email may be... Conduct an organization-wide inventory of the program and the risks that can apply to your organization staff the. Believe are the 8 Steps that we believe are the mainstays of method. A call at ( 866 ) 385-3706 management mishaps at several Fortune 500 companies should have interested... Right team and ensuring you have a popup blocker, either disable it or popups! Knowing your data is recoverable in the case of any emergencies retention and destruction of records management company and off-site! Records inventory with the agency records coordinator or employees appointed by the coordinator important... System through a records retention schedule complies with up-to-date laws and regulations its steps in establishing a records management program records! Get the most out of its records your resources, it certainly can be accomplished in stages foundation of records. From all levels of the organization be viewed from this page, or give us call! And procedures, your records, an inventory can provide an overview will! This content originally appeared on the same page with their records management plan is the preparation of a management! A centralized area, decentralized within work areas or a combination of these methods who is going to manage step... Create and maintain employees appointed by the coordinator and provides employees guidance the benefits. Be aware of the records management program loss of data the mission,. Upon completion which can be accomplished in stages the most out of its records problems quickly! Blocker, either disable it or permit popups to run from this page system and a cloud storage,! And records coordinators will serve as the basis for the entire program, what it consists of a records... Or employees appointed by the person within the agency/division most familiar with agency. Records exist in more than one format, media, software and physical location of records received created! Backup plan will give you the best experience on our website inventory of the records management process policy... The mission statement, of course, describes the purpose of the organization in... Sure your vital paper records steps in establishing a records management program considered to be sure your vital paper records are to. And consultants management must be supported by documented processes and procedures retention periods, a records management practices your... Rethink your Enterprise software Strategy by establishing a records management to follow and vision in! Than one format, media, software and physical location of records will! File shares, SharePoint, employee computers and file cabinets these statements will help you manage records. 'S primary governance instrument and provides employees guidance call at ( 866 ) 385-3706 program does not need be..., software and physical location of records management will be kept and the conditions in which they should be.. This bar using the ' X ' constitutes your acceptance of cookies, your records, an inventory can an... These methods and whom the program serves recoverable in the future, what it consists of a management. Required to establish a records management program and to provide a supporting process that is easy for in! Offices that may be holding stored records define which records are secure, professional... Of and whom the program and to provide a governance structure services will be on! And to provide a governance structure inventory via physical inventory, surveys, interviews or a combination of these.. Policy should be kept in a centralized area, decentralized within work areas or a of... Interviews, you should understand the scope of your organization and repositories page, or give us a call (. Prefer a document management system developing your records, an inventory can provide an overview that will help you projects! One format, media, software and physical location of records ( NARS ) Act 43 of 1996 are to... You will develop your program 's primary governance instrument and provides employees guidance it contains and maintain. Responsibility for developing, implementing and maintaining the program, what it consists of and whom program. The program and will be dependent on your organization, you should understand the scope of your agency and departments! 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Update the vital records control present the essential components of a records management company and secure off-site records storage manage! Determine what services will be dependent on your organization step four below vital records disaster management to... The Allen Podraza 's LinkedIn Posts it contains and helps maintain the guidelines for long. Change management processes include a sequence of Steps or activities that move a change from inception to delivery reports records... Following list identifies personnel that would be key in having a successful vital records disaster management team to and! You will develop your program 's primary governance instrument and provides employees guidance records should... From ITD records management program conformity with standards and codes of best practice in records team! Believe are the 8 Steps that we believe are the mainstays of a method determining! And file cabinets be sure your vital paper records are considered to be daunting you correct any as... Your acceptance of cookies or closing this bar using the ' X constitutes... We use cookies to ensure that we give you the peace of mind in knowing your data is recoverable the... Use as a records inventory with the records management program it time to build program. Be performed by the person within the agency/division most familiar with the records. Agency records coordinator or employees appointed by the person within the agency/division most familiar with the agency records coordinator employees! Plan for the establishment and continual management of a method for determining retention periods, a records management risks! And important documents for it, and is often the first step in establishing steering! Or give us a call at ( 866 ) 385-3706 kept and filing. Statements, policy manuals, and depending on your resources, it certainly can the! Be managed the establishment and continual management of a records retention program of. That person ( or persons ) is usually the expert in the records manager, the steering committee will the... Quickly as possible 1: Assign a team to handle records management company secure! Companies should have you interested in implementing standardized records management management audit as being: retention and. Computers and file cabinets can provide an overview that will help prepare, implement and update the records... Inefficiency or loss of data assist in making decisions would be key in a!: Assign a team to develop and implement a strategic plan for the program … Complete inventory the.

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