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  1. Surveys
  2. 2012
  3. June
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  5. Records and Imaging Survey - Fall 2012
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About this survey
An effective records program is critical for effective governance, risk management, litigation preparedness, reputation protection and strategic decision making. This survey spotlights the extent to which companies are adopting industry-accepted best practices and principles in their records management programs, challenges they are experiencing and untapped opportunities for advancing their recordkeeping to a higher level.

The survey will take only a few minutes to complete. Additionally, two of the first 50 participants who complete the survey will be randomly selected to win a digital camera for “document-ing” the important personal and business events in their lives. Please remember to include your contact information at the end of the survey so we can send you a copy of the survey results and notify you by email if you win a digital camera. (Survey responses will be kept confidential and email addresses will not be shared with third parties.)
 
 
 
Does your organization have a records management program?
 
Yes
 
No
 
 
 
Which of the following are included in your records management program? (Please check all that apply.)
 
Records retention schedule
 
Records policy
 
Dedicated records management staff
 
Periodic compliance auditing
 
Document management software
 
File tracking software
 
Records storage
 
Vital records program
 
Program is part of our organization’s overall business continuity plan

 
 
 
Has your company conducted a records needs assessment to uncover opportunities for closing gaps between the program’s current state and desired future state?
 
Yes
 
No
 
Don’t know
 
 
 
How does your organization manage its records management activities?
 
Outsource some or all activities
 
Internally
 
 
 
Why does your organization outsource some or all of its records management activities? (Please check all that apply.)
 
Gain access to accredited experts
 
Leverage external staff that we do not have to hire, manage and train
 
Concentrate more on our core business
 
Become better prepared to meet future challenges such as technology, legal and compliance issues
 
Implement a program based on best practices

 
 
 
Is there a senior executive who is accountable for your organization’s recordkeeping program?
 
Yes
 
No
 
Don’t know
 
 
 
Which of the following does the executive in charge of your recordkeeping program oversee? (Please check all that apply.)
 
Designates personnel to roles and tasks supporting the records program
 
Ensures that program policies and procedures are documented, formally approved and communicated to personnel
 
Ensures staff records management training
 
Manages ongoing program development including periodic compliance monitoring
 
Helps to insure that matters identified during compliance monitoring are resolved and lead to program improvements
 
None of the above
 
Don’t know

 
 
To help ensure the integrity of its records, our company has implemented the following practices. (Please check all that apply.)
 
Formal recordkeeping policies and procedures that have been approved by senior management
 
Training for employees on the meaning, importance and usage of our organization’s policies and procedures
 
Consistent recordkeeping practices throughout the records lifecycle
 
Effective audit and quality assurance processes
 
Reliable recordkeeping systems including hardware, network infrastructure and software
 
None of the above
 
Don’t know

 
 
 
Our organization has implemented the following in order to reasonably protect private, confidential and privileged information and records. (Please check all that apply.)
 
Only personnel with an appropriate level of clearance can access information in electronic and physical systems
 
We have safeguards clearly defined in organizational policy that prevent physical and electronic information from leaving the organization (such as records becoming available on social networking sites)
 
Our organization’s audit program has a clear process to determine whether sensitive information is being handled in a manner that helps to ensure its protection.
 
None of the above
 
Don’t know

 
 
 
Which of the following principles of compliance apply to your records management program? (Please check all that apply.)
 
We know what information must be entered into our records to demonstrate that our business is being conducted in a lawful manner
 
We enter that information into our records in the manner prescribed by law
 
We maintain our records for the time prescribed by law and/or best practices
 
We have drafted and enforce policies reasonably calculated to ensure compliance with appropriate authorities
 
None of the above
 
Don’t know

 
 
 
How would you rate the effectiveness of your company’s recordkeeping program in ensuring timely, efficient and accurate retrieval of information?
 
Very effective
 
Effective
 
Moderately effective
 
Not effective
 
Don’t know
 
 
 
Does your organization have a routine approach for capturing descriptive information about its records (known as metadata)?
 
Yes
 
No
 
Don’t know
 
 
 
Does your company periodically remove obsolete or redundant records and related information from its information systems?
 
Yes
 
No
 
Don’t know
 
 
 
Is your organization routinely backing up digital information to ensure that it can be restored if there is a disaster, a system malfunction or the data becomes corrupted?
 
Yes
 
No
 
I don’t know
 
 
 
Which of the following elements of records retention applies to your organization? (Please check all that apply.)
 
Conducted research in conjunction with legal counsel to determine all legal, regulatory and fiscal records retention requirements
 
Took steps, such as interviewing appropriate employees, to determine how long records are needed to satisfy business requirements
 
Implemented a risk assessment to determine the appropriate retention period for each type of record
 
Implemented a system to ensure the disposal of records after their retention period expires
 
None of the above
 
Don’t know

 
 
 
Which of the following apply to the destruction of your company’s records? (Please check all that apply.)
 
We dispose of physical records in a secure manner, ensuring that records to be destroyed are transported securely and destroyed completely
 
We dispose of electronic records in a secure manner
 
We suspend disposition of relevant records in the event of pending or ongoing litigation or audit
 
Don’t know

 
 
 
Does your organization document the processes and activities of its recordkeeping program and make the information available to all personnel and appropriate interested parties?
 
Yes
 
No
 
Don’t know
 
 
 
Our company has implemented a process to benchmark and track over time how effectively it is complying with many of the practices covered in this survey.
 
Yes
 
No
 
 
 
Select the position that best identifies your role?
 
Legal IT Professional, Corporate
 
Legal IT Professional, Law Firm
 
C-level Officer (CEO, CFO, CIO etc.)
 
Director/Manager, Facilities
 
Director/Manager, Sourcing/Procurement
 
Director/Manager Administrative Services
 
Director/Manager, Operations
 
Records Manager
 
Risk Manager
 
Chief Security Officer
 
Compliance Officer
 
Other
 
 
 
 
What is the size of your company?
 
<$100 million
 
$100 million to $500 million
 
$500 million to $1 billion
 
$1 billion to $5 billion
 
>$5 billion
 
 
Thank you for completing the document management survey.

If you’d like to obtain a free copy of the survey report and want to be notified if you win a digital camera, please provide your contact and industry information. Individual survey responses will be kept confidential and email addresses will not be shared with third parties. The industry information requested below will allow us to provide you with the survey response rate for your industry compared with other industries.
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* Last Name (or your initial only if you prefer) : 
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Please indicate your industry:
 
Business Services
 
Education
 
Entertainment
 
Financial Services
 
Government
 
Healthcare
 
Insurance
 
Legal
 
Manufacturing
 
Pharmaceutical
 
Utilities
 
Retail
 
Technology
 
Other (please specify)
 
 
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