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Welcome: You have been identified by your management as one of a small number of people with the business acumen necessary to complete this questionnaire so every response is required. It will take approximately 45 minutes to complete the questionnaire.
There are no right or wrong answers - just the answer that you think best fits the situation at your company at this time.
Your survey responses will be strictly confidential and data from this research will be reported only in the aggregate. Your information will be coded and will remain confidential. If you have questions at any time about the survey 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 attention to this tool your management will use to guide the company in the coming months.
Please start with the survey now by clicking on the Continue button below.
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Implementation of Records Management Principles |
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| In each of the following sections, pick the answer for each question that best describes the current situation at your firm. There are no ‘right or wrong’ answers, just what is currently implemented at your company. In order to answer these questions, you do not need to be a Records Management expert, but to help you understand purpose of the questions a short definition is provided within each section. | | |
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Principle of Accountability |
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| Accountability embodies the following: Responsibility for recordkeeping is formally designated to ensure program development & program implementation. Policies and procedures are documented, formally approved, and communicated to personnel. The program is monitored for compliance; any areas requiring improvement are identified and improvements are implemented. Governance is established through the organization, assigning defined roles and responsibilities Auditability, the process designed to prove the program is accomplishing its goals while seeking areas for improvement to further protect the organization and its records, is in place. | | |
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Implementation of Records Management Accountability: Organization Structure |
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Existence and Scope of a Records Management Functional Manager |
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Records Management Orientation |
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Records Management Visibility |
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| Would you say all corporate goals related to accountability are being met? If not, what remains to be done? | | |
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Principle of Transparency |
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| Transparency embodies the requirement that every organization must create and manage the records documenting its recordkeeping program to ensure that the structure, processes, and activities of the program are apparent and understandable to legitimately interested parties and that the records documenting the program and its activities are reasonably available to them. | | |
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Transparency Implementation |
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| Would you say all corporate goals related to information transparency are being met? If not, what remains to be done? | | |
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| Integrity embodies the following: the ability to prove that a record is authentic and unaltered. Authentication requires proof that a document comes from the person, organization, or other legal entity claiming to be its author or authorizing authority. | | |
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| Would you say all corporate goals related to information integrity are being met? If not, what remains to be done? | | |
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| Protection embodies the following: protection requires an appropriate security structure so only personnel with the appropriate level of security or clearance can gain access to the information. Further information is secure from “leaking” outside the organization. Finally, an organization’s audit program must have a clear process to ascertain whether sensitive information is being handled in accordance with the protection policies. | | |
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Privacy Protection Adoption |
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| Would you say all corporate goals related to information protection are being met? If not, what remains to be done? | | |
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Principle of Availability |
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| Availability embodies the following: the ability to identify, locate, and retrieve the records and related information required to support its ongoing business activities; having an efficient and intuitive set of methods and tools to organize the records of the organization; providing employees and agents with sufficient training to utilize these tools successfully; and removal of obsolete or redundant records in adherence with the organization’s records retention policies. | | |
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Availability of Information When and Where Needed |
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Availability Organizational Issues |
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| Would you say all corporate goals related to availability are being met? If not, what remains to be done? | | |
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| Compliance embodies: adopting and enforcing suitable policies to direct and control its recordkeeping, assuring the recordkeeping system contains information showing that the organization’s activities are conducted in a lawful manner, and legal requirements such as requirements to maintain tax or other records. | | |
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Compliance Implementation |
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Compliance Organizational Issues |
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| Would you say all corporate goals related to compliance are being met? If not, what remains to be done? | | |
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| Retention embodies: the document life cycle, which is the time period from the creation of a record to its final disposition; addresses legal and regulatory compliance, fiscal accountability, operational business needs and historical information. | | |
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Retention Organizational Issues |
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| Would you say all corporate goals related to retention are being met? If not, what remains to be done? | | |
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| Disposition embodies the following: destruction, return to clients, transfer to another organization in connection with a divestiture, or transfer to an historical archive; if records are converted or migrated to new media, disposition of the previous media; suspension in the event of pending or ongoing litigation or audit. | | |
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Disposition / Transfer Process Adoption |
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Disposition / Transfer Process Implementation |
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Legal Hold Process Ability to Halt Disposition Process |
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| Would you say all corporate goals related to disposition are being met? If not, what remains to be done? | | |
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| Are there any comments you would like to make regarding any of the above questions? | | |
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