16 Tips For An ISO 27001 Document and Record Management Policy
A document and records policy is a set of rules that an organization creates to manage documents and records.
Document management systems allow companies to efficiently store, find, and retrieve documents.
They should use the DAM when they need better organization on how their company can run much more efficiently.
Why is a Document and Record Management Policy Important?
Document and records management rules guarantee that papers kept to a given quality are safely stored and saved for the future.
The document’s owner has provided a summary of how the policy applies to them. It ensures both unintentionally deleting data and intentional data deletion as well is prevented.
Limits need fixing so that each company has guidelines for how much storage space they need, what documents expire, who they should transmit papers to “know,” and so on.
What Does a Record Management Plan Include?
A record management strategy helps to specify which records must be retained and for how long. Most organizations have a list of documents required by law to keep (e.g., tax records, health and safety records, etc.).
A record management strategy will outline which record categories apply to your company and the retention timeline for each. It will assist you in determining how lengthy papers to keep before being destroyed.
Who Should Be Involved in Developing a Document and Record Policy?
The best way to create a document and record management system policy is by involving everyone who will use or affect it. They’ll be more likely to follow the rules if they have a hand in creating them.
It includes all levels of management, as nicely as the IT team and document custodians. Document custodians are professionals who do the important job of handling documents that are not lost or destroyed. If you have a lot of historical data or sensitive information, it may be worthwhile to bring in an archivist.
Which Types of Documents Need to be Managed?
Your organization type, industry, and applicable legislation will determine the types of records you need to keep. Your organization may have its specific list of record types that keep. Ensure that each has a distinct method of handling, storing, and retaining information.
If you are using a document and record management system, it’s best to support all types of documents in the system. It will allow you to easily search for any information at any time, as nicely as share information with partners and other users.
What Is the Process for Storing New Documents?
The first step in creating my business was carefully choosing where to keep all the unique records. Policies and procedures, for example, may require storage in an online repository for convenient access. Other papers, such as certificates of incorporation or evidence from a liability attorney, may need to be filed on the spot.
If you have a specific location, the next step is to create a document and enter it into the correct folder. Following your organization’s directory convention when naming your record for future reference.
Record Management System (RMS)
The record management system is the backbone of any document and record management system policy.
It consists of software that stores documents and provides search functionality. It also creates an audit trail for future reference.
A record management system allows you to keep all records in one place so they can be easily searched for, retrieved, and shared with different people.
Record Identification, Review, and Destruction Processes
Document identification is the method used to ensure that each document has to track with a unique identification number. It is easy to find a record when needed.
The identification process is one of the periodic record reviews each year. The audit must ensure that each record is always relevant, up-to-date, and in keeping with the individual policy.
The destruction process helps protect your identity and your company’s privacy. It also ensures that you are collaborating law-abidingly.
Record Creation and Management Responsibilities
The person who creates a document has directed it to the author. The author is responsible for ensuring that the record is accurate.
The person who has the final approval on the document has referred to as the approver. The approver is responsible for ensuring that the document is correct and complete.
The person in charge of storing a document is known as the custodian. The custodian ensures that the record has been securely preserved and is readily available when needed.
Record Retention Schedule
A record retention schedule is a checklist of your company’s records and retention period.
It describes how long you will keep each type of record. You can use this schedule to determine when to destroy certain records.
A record retention schedule is necessary because it helps you to keep your documents organized. It also ensures that you keep records for only a short time, which might put your business at risk if they are confidential.
Record Storage Location by Department
You should clearly outline which department’s records go in which type of storage solution. You can use many options to retain file cabinets, shelves, and binders. Each type of storage has its advantages and disadvantages.
You may want to store some records in the cloud to save space and money. You’ll also need to specify where to store different documents, such as financial records and contracts, which need to keep in a fireproof safe or a locked file cabinet.
Electronic Document Management System (EDMS)
An electronic document management system acts as a system of record. It allows you to create, store, and access electronic copies of documents or files.
EDMS includes frequently used in conjunction with other methods, such as customer relationship management systems, accounting software, or inventory management systems.
Electronic Folder Structure
Your electronic folder structure can either be hierarchical or a single level. A hierarchical folder structure uses a tree-like form to organize different types of documents or folders.
A single-level design is a single folder that contains all of your records. The layout of your electronic folders will be determined by how your company wants to organize information.
Consider creating a folder structure that is unique to your organization as well. If you use a hierarchical folder structure, use a labeling system that is unique to your organization.
Electronic Folder Naming Convention
A naming convention is what determines the order of file names.
It’s useful since it allows users rapidly find specific papers within a giant collection of files. It also makes specific that file names are consistent.
It might be a specific name standard for your company or a General Naming Convention like ISO 8601.
Organizational Documents and Record
Your organizational documents and record types depend on your industry and applicable legislation.
Your record types may also differ depending on what sort of organization you are in.
Purchasing orders, contracts, financial statements, personnel records, safety and health records, and meeting minutes are frequently used in businesses.
How Employees Can Handle Documents and Records
You should specify which documents and records to handle correctly.
Sensitivity can build into your organization’s email conversations, or employees might be discouraged from sending sensitive material to anybody outside the company.
A business-wide policy might also include document storage. File documents in the proper file cabinet, box, or place.
Another technique to ensure good record handling is determining the number of printed papers each employee can keep.
How to Destruct Documents and Records
It would help if you guided how to responsibly dispose of sensitive company records. It is critical to do this correctly so that sensitive information is not made public.
Your document and records management plan should identify which papers to discard or when.
It’s also a good idea to consult an attorney to find which federal agencies to report. It guarantees that you have covered all of your bases.
Conclusion
A document management policy specifies the type of documents required by your business, how to access these documents, and other details. The electronic records management system stores all your files and can provide search functionality across multiple devices. The electronic record management system acts as a system of record.
For more details, you can have a look at this video.
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