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Welcome to the Océ RNA Core Information Questionnaire
The answers to these questions are important to allow Oce to prepare for and execute an effective Records Needs Analysis for your firm.
If you have questions at any time about the questionnaire or the procedures, you may contact Michael Field at (212)502-1489 or by email at [email protected].
Thank you very much for your time and effort. Please start the questionnaire now by clicking on the Continue button below.
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Current State Information |
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| Who in the organization is responsible for Compliance Management? [Name, Tile, Reports To] | | |
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| Who in the organization is responsible for Risk Management? [Name, Tile, Reports To] | | |
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| Who in the organization is responsible for Information Security (Cyber Security)? [Name, Tile, Reports To] | | |
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| Who in the organization is responsible for Business Continuity / Disaster Recovery? [Name, Tile, Reports To] | | |
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Is Information Governance a recognized function in your enterprise? |
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| Who in the organization is responsible for Information Governance? [Name, Tile, Reports To] | | |
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Does your company have a Records Management Committee? |
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What departments are represented on the committee? (Check all) |
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Where does the Records Management Committee report into the organization? |
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Does your company have a Risk Management Committee? |
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Is Records management a budgeted function? |
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Who controls the Records Management budget? |
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How many end-users are supported by the Records Management department? (Choose one) |
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| Are the Records Management activity requirements relatively level, cyclical or do they vary widely due to non-cyclical events? If cyclical what are the peaks? Ex. Weekly, Monthly, Quarterly, Annual | | |
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What are the firm’s drivers for pursuing Records Management? |
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Taking the enterprise as scoped for this project, which of the three descriptions below best represents the Records Management approach in place today: |
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What best describes the firm’s current approach to Records Management filing mechanisms? |
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Please indicate the areas in which conversion of paper documents to electronic is being done on a regular go-forward basis and the extent to which documents are being converted.
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Please indicate what, if any, accumulated paper documents are being converted to electronic format. |
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What is the mechanism for long term storage of records? |
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What is(are) the mechanism(s) for retrieval of records in long term records storage? |
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If any type of offsite storage is used is the vendor index used or does the firm build and maintain its own index? |
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Does your company operate in multiple states? |
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Who is responsible for tracking the varying state requirements regarding Records Management? |
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Does your company operate in multiple countries? |
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Who is responsible for tracking the varying country's requirements regarding Records Management? |
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| What is the level of on-staff Records Management expertise? | | |
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Does the Records Management function have employees with recognized certifications? |
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What certifications are held by current Records Management staff? |
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| In general, are electronic records and paper records treated uniformly or are there widely varying procedures for the two types of records? Please comment. | | |
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| What is the general process for declaring a paper document a record? Please describe. | | |
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| What is the general process for declaring an electronic document a record? Please describe. | | |
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What content types are being maintained? Please check all that apply. |
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If electronic versions of documents are being retained, are the paper versions also being retained? |
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| Why are the paper versions being retained? | | |
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Does the company's website have any content that needs to be treated as a business record? |
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In the current paper Records Management porcess, are there any assistive technologies deployed? |
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Are there contracts currently in force with any Records Management Services providers?
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| If Other Vendors were checked in the previous question, please indicate the vendor name(s) and the the service(s) here. | | |
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What compliance agencies and/or audits is the firm subject to? |
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| Are there any of the above standards that are followed or used for guidance but not audited to? | | |
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| What are the restrictions as to who can view and/or handle company documents? For paper files? For electronic, if different? | | |
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| How are the company policies on document security documented? How are they enforced? | | |
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Is compliance with Records Management policies and procedures an explicit topic in the newly hired bemployee briefing? |
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Is compliance with Records Management policies and procedures incorporated into performance reviews in any way? |
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Is compliance with Records Management policies and procedures, especially the declaration and disposition records, an explicit topic in exit interviews for departing employees? |
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| If a Legal Hold Request were to be issued, how would appropriate firm associates know what material was included in the request and what actions / responses were appropriate? | | |
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| In general, how are the above Legal Hold policies and procedures monitored and enforced? | | |
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What are the existing immediate and future plans for the Records Management functions |
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| Are any of the Records Management related documents currently being or scheduled to be revised and, if so, with internal or external resources? Ex. Records Retention Schedule, Compliance Policies | | |
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| Are there recent, ongoing or planned imaging / scanning / document conversion projects? Ex. Backfile Conversion, Day Forward Scanning, Accounts Payable Automation, Indexing / Coding, etc. Would these be done with internal resources, internal resources with consultative support or external resources? | | |
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| Does your firm have recent, ongoing or planned Six Sigma ™ activities? | | |
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| Does your firm have recent, ongoing or planned Six Sigma ™ activities | | |
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What Vertical Industry is the firm's primary business? |
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| What is the firm size in terms of number of employees? | | |
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| What is the firm size in terms of annual revenue? | | |
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What is the firms' geographic scope? |
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