Quais são os principais componentes de uma política de gerenciamento de registros e manual de procedimentos?

In my experience understanding the necessity for maintaining the records helps those that will come after me to do the same job will allow a proper turn over, for records to continue to be managed properly.

Record management presents various challenges, depending on the records involved, be it health or academic. The type of records determines the complexity. Ensuring data integrity is vital, especially for daily accessed records, impacting operational efficiency and decision-making. For highly sensitive information like medical or legal records, seeking legal consultation is crucial to mitigate risks and ensure compliance. Recognizing these complexities and addressing them through strategic planning is essential for upholding record integrity and security.

The legal team are a key component in any project to ensure that all applicable documents are vetted internally and that the company is safe from noncompliance to standards and codes applicable to your company’s business platform. An example of strict require is the nuclear industry where a second layer of approvals is required.

Records Management cannot be operated in silos. There should be robust partnership with Privacy, Legal and Information Security functions to foster a culture of compliance within Records Management.

Strict adherence to your company’s communication of documentation with both internal and external clients ensures that you are in compliance with both internal and external auditors. Ensure that all versions of documentation and drawings are current at the time of handover to your clients. Some industries still require hard copies and not just electronic packages. Once the handover package has been received and approved by the client, this will now be archived for the industry standards in your country. For example nuclear documentation has a 30 year retention period before the records can be sent to an approved records destruction company. Keep all documentation up to date as well as the master records log!

Records Management is not to be considered as a one off activity that happens once a year. Everyone in the organisation has a responsibility to ensure that records are maintained in line with the regulatory requirements. But how do we ensure this is implemented, is a crucial element in mitigating regulatory risk exposure. The ultimate solution here would be to embed policy conformance through controls around different lifecycle stages that can be traced and monitored periodically.

The definition of a record and the definition of a non- record is a key piece of information to add in any main records management document.

From my experience An efficient and effective Records retrieval and tracking system is very crucial which will aid a timely process of accessing the information requested for and it's were about. This may vary from organization size and what works for them. The best way to control this process is to have a Proper Centralized Electronic Records Management system in place to manage the process. Manual records management systems are tedious.

I believe that we should identify all risks to be addressed by any RIM policy. - This should be developed after referencing your Organisation's Risk Universe/Register. - Identifying and defining risks to be mitigated such as man-made risks, environmental and technology risks to name a few, grounds your policy - adding purpose and increasing its importance to the Organisation. - Identifying risks addressed also adds value to the questions 'Why RIM and Why a policy?' - Additionally, it allows the Records Manager to respond to the questions 'how can the identified risks be addressed and what procedures are required to guarantee success. - Finally, it frames for the audit team, key areas of focus when auditing your records program.

On the definition of record and non-record, does it have any relation to the type of records management software or solution? In my country, some people talk about the records management system for recording or archiving, but I think it is not necessary because it all depends on how the key criterion on recording or non-recording is applied when users place the documents in the file structure. Therefore, the definition is more important than the type of software or system used.