Best practices for records management
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Management best practices include:
- Policies and Procedures for creating and storing records in both paper and
electronic format that are demonstrably supported by an organizations
executives, including the Chief Executive Officer, Chief Financial Officer,
Chief Information Officer, Chief Legal Counsel, and Chief Compliance
Officer - A thoroughly documented Records Retention Schedule that lists Records
Series (categories) and the expected retention period in months and years
(based on legal, regulatory, and best practices research) - An organizational File Plan that lists primary records types by functional
unit so that information can be located without dependence on any one
employee - A Vital Records Program that identifies and protects those records that
are critical for immediate restart of an organizations business processes
following a disaster - A Records Management Implementation and Training Program that works with
identified Records Coordinators in primary functional units to train them in
the policies, procedures, workflow, and systems required to assure quality
recordkeeping occurs - Increasingly, the presence of a dedicated hardware/software electronic
records system repository so that employees have a place to store personal
computer files, electronic mail messages, and any other electronic documents
for long term retention based on a formally defined Records Retention Schedule
and business rules - Periodic Audits to assess the clarity of procedures, effectiveness of
training, and that provide an enforcement vehicle
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