1. Records Management Program Deliverables
Session 1 – October 11, 2017

2. Records Management Program Deliverables
Policy
File Plan / Record Schedule
Procedure
Work Instructions
Training
Compliance Controls

3. Policy Policy Statement – Simple and Memorable – Think Elevator Speech
Captures the intent of the organization to meet necessary records management requirements
Objectives – Essence of What & Why
Scope / Responsibilities / Ownership of the Records Management Program
Authorities / Regulations / Legislation
Sub-Policies, i.e. Vital Records, Personal, Litigation
Statement on Services – Communication, Training, Internal Consulting/Oversight, etc
Examples
Principles/Document%20Library%20%20Tools/Advice%2050%20Developing%20a%20Records%20Management%20policy.pdf

4. File plan / Record Schedule
List Record Categories – Types of records
Describes unique record identification scheme (numbering / coding)
Owners/Custodians
Authority / Controls: Regulation, Legislation, Industry Standard
Retention Period / Disposition
Example

5. Procedure
Describes what the organization needs to do to satisfy the records management policy
It is the who / what / why for an organizational process
Audit
Scanning Records
Filing / Transferring / Destroying Physical Records
Filing / Transferring / Destroying Electronic Records
Certifying a Storage Provider
Signatures / Authentication
Business Continuity / Disaster Recovery
Procedures specific to record categories
Records Review, i.e. Periodic Review
Examples
rm.depaul.edu/Forms/DePaul_RM_Manual.pdf

6. Work Instructions
Optional - may simply be incorporated into a procedure
Prescriptive about how a procedure, or step in a procedure, is executed
Usually extremely detailed
Example

7. training Train on Policy, Procedures, and Work Instructions
Annual and Just In Time
In-line with the procedure execution (help)
Partner with other training efforts to reinforce records management requirements
Formats
In-Person
Webinar
Self-directed
Read documents and sign
Integrated into applications
Example

8. Compliance Controls
Controls provide the external drivers and requirements for implementing and maintaining a Records Management Program
Example - 36 CFR What records management controls must agencies establish for records in electronic information systems?
The following types of records management controls are needed to ensure that Federal records in electronic information systems can provide adequate and proper documentation of agency business for as long as the information is needed. Agencies must incorporate controls into the electronic information system or integrate them into a recordkeeping system that is external to the information system itself (see §  of this part).
(a)Reliability: Controls to ensure a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities.
(b)Authenticity: Controls to protect against unauthorized addition, deletion, alteration, use, and concealment.
(c)Integrity: Controls, such as audit trails, to ensure records are complete and unaltered.
(d)Usability: Mechanisms to ensure records can be located, retrieved, presented, and interpreted.
(e)Content: Mechanisms to preserve the information contained within the record itself that was produced by the creator of the record;
(f)Context: Mechanisms to implement cross-references to related records that show the organizational, functional, and operational circumstances about the record, which will vary depending upon the business, legal, and regulatory requirements of the business activity; and
(g) Structure: controls to ensure the maintenance of the physical and logical format of the records and the relationships between the data elements.

9. Take aways
Example Policy Documents
Example Procedures / Manuals
Example Work Instruction
Example File Plan / Retention Schedule
Example Control Products
Example of Audit self-reporting
RM Resources in the left-hand navigation bar are very handy
Interesting to note who completed the survey as it’s a window into what department is leading the RM Program
Example of an Assessment Report
Questions? Want the take aways? me Christine Adcock,