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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.
 
 
Current State Information
 
 
 
Who in the organization is responsible for Compliance Management? [Name, Tile, Reports To]
   
 
 
 
Who in the organization is responsible for Risk Management? [Name, Tile, Reports To]
   
 
 
 
Who in the organization is responsible for Information Security (Cyber Security)? [Name, Tile, Reports To]
   
 
 
 
Who in the organization is responsible for Business Continuity / Disaster Recovery? [Name, Tile, Reports To]
   
 
 
Is Information Governance a recognized function in your enterprise?
 
Yes
 
No
 
 
 
Who in the organization is responsible for Information Governance? [Name, Tile, Reports To]
   
 
 
 
Does your company have a Records Management Committee?
 
Yes
 
No
 
 
 
What departments are represented on the committee? (Check all)
 
Legal / General Counsel
 
Finance / Accounting
 
Information Governance
 
Information Technology
 
Information Security
 
Compliance
 
Human Resources
 
Administration / Facilities / Purchasing
 
Sales / Marketing
 
Manufacturing
 
Operations
 
Other
 

 
 
 
Where does the Records Management Committee report into the organization?
 
 
 
Does your company have a Risk Management Committee?
 
Yes
 
No
 
 
 
Is Records management a budgeted function?
 
Yes
 
No
 
 
 
Who controls the Records Management budget?
 
 
 
How many end-users are supported by the Records Management department? (Choose one)
 
1-500
 
501-1,000
 
1,001-2,000
 
2,001-5,000
 
5,001 - 10,000
 
10,001+
 
 
 
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
   
 
 
 
What are the firm’s drivers for pursuing Records Management?
 
To minimize risk and exposure
 
For compliance purposes
 
To reduce external storage spend
 
Reduce costs due to settled cases that could otherwise have been successfully litigated
 
Other
 

 
 
 
Taking the enterprise as scoped for this project, which of the three descriptions below best represents the Records Management approach in place today:
 
Centralized – A centralized filing system is one in which the files for several individuals, departments and or units are located in one central location/file room. Generally under the control of records personnel. It is has set established procedures.
 
Decentralized – A decentralized filing system is one in which the files are located throughout the office, generally at individual work stations. It is usually controlled by the person who creates and or receives the files.
 
Combination – Is a structured operation/system using a combination of a Centralized and Decentralized operations/systems. It is generally controlled by the Records Manager. It contains set established procedures and identifies who is responsible for specific duties.
 
 
 
What best describes the firm’s current approach to Records Management filing mechanisms?
 
Filing cabinets – on and offsite paper stores.
 
Paper based records = file folder management; electronic based records = ad hoc file management.
 
Dedicated RM system with records specific workflows handling paper and electronic records separately.
 
Integrated RM function within business process workflows treating electronic and paper records uniformly.
 
Other
 
 
 
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.
Virtually All Scanned Most Scanned Some Scanned Pilot Project In Planning Not Done Not Applicable
Accounts Payable
Claims Processing
Human Resources, ex. Job Applications
Finance
General Correspondence
 
 
 
Please indicate what, if any, accumulated paper documents are being converted to electronic format.
 
Virtually all documents
 
Documents identified as likely to be retrieved
 
Documents subject to legal review
 
Certain departments
 
Other situation, please describe
 

 
 
 
What is the mechanism for long term storage of records?
 
End-user managed filing cabinets for paper records
 
Physical onsite/offsite retention under RM department control
 
IT managed retention of electronic records – ex. backup tapes, shared drives
 
RM department managed onsite/offsite storage of electronic records
 
Integrated physical/electronic records management with format conversion
 
Other
 

 
 
 
What is(are) the mechanism(s) for retrieval of records in long term records storage?
 
Manual, no tools
 
Manual, indexed storage
 
Search tool for RM controlled documents
 
Search tool for most stored documents
 
Other
 

 
 
 
If any type of offsite storage is used is the vendor index used or does the firm build and maintain its own index?
 
Vendor Index
 
Firm Index
 
Not Applicable

 
 
 
Does your company operate in multiple states?
 
Yes
 
No
 
 
 
Who is responsible for tracking the varying state requirements regarding Records Management?
 
 
 
Does your company operate in multiple countries?
 
Yes
 
No
 
 
 
Who is responsible for tracking the varying country's requirements regarding Records Management?
 
Records Manager
 
Legal
 
IT
 
HR
 
Finance
 
Facilities Management
 
Other
 
 
 
 
What is the level of on-staff Records Management expertise?
   
 
 
 
Does the Records Management function have employees with recognized certifications?
 
Yes
 
No
 
 
 
What certifications are held by current Records Management staff?
 
CRM
 
CDIA+
 
CTT+
 
ERM Practitioner
 
ERM Specialist
 
ERM Mater
 
ECM Practitioner / Specialist / Mater
 
BPM Practitioner / Specialist / Mater
 
Other ARMA certifications
 
Other AIIM certifications
 
Microsoft Certified Professional (SharePoint)
 
Six Sigma Green / Yellow / Black Belt
 
Other

 
 
 
In general, are electronic records and paper records treated uniformly or are there widely varying procedures for the two types of records? Please comment.
   
 
 
 
What is the general process for declaring a paper document a record? Please describe.
   
 
 
 
What is the general process for declaring an electronic document a record? Please describe.
   
 
 
 
What content types are being maintained? Please check all that apply.
 
Paper copies of important legal documents including contracts
 
Paper copies of important financial documents
 
Paper copies of important HR documents
 
Electronic copies of important legal documents including contracts
 
Electronic copies of important financial documents
 
Electronic copies of important HR documents
 
Customer correspondence
 
Essentially all paper records in their original format
 
Essentially all electronic files in their original format
 
eMail
 
General office documents
 
Web content
 
Collaborative project documents and workspaces
 
Emerging media types such as audio, video, IM, Web 2.0, etc.
 
Other

 
 
 
If electronic versions of documents are being retained, are the paper versions also being retained?
 
Yes
 
No
 
 
 
Why are the paper versions being retained?
   
 
 
 
Does the company's website have any content that needs to be treated as a business record?
 
Yes
 
No
 
 
 
In the current paper Records Management porcess, are there any assistive technologies deployed?
 
Color Coded Paper File Labels
 
Barcoded Paper File Labels
 
RFID Tags
 
Other
 

 
 
Are there contracts currently in force with any Records Management Services providers?
Consulting Onsite Services Offsite Services Scanning / Imaging Litigation Support / eDiscovery Other
Cadence Group
Cintas
DTI
Fios
GLC Business Services
Hildebrandt Baker Robbins
Huron
Ikon
IMERGE
Iron Mountain
Consulting Onsite Services Offsite Services Scanning / Imaging Litigation Support / eDiscovery Other
Jordan Lawrence
Merrill
Pitney Bowes
TAB
Williams Lea
Xerox
Other
 
 
 
If Other Vendors were checked in the previous question, please indicate the vendor name(s) and the the service(s) here.
   
 
 
 
What compliance agencies and/or audits is the firm subject to?
 
SEC
 
Gramm–Leach–Bliley Act
 
Sarbanes-Oxley Act (SOx)
 
HIPAA
 
PCI Payment Card Industry Data Security Standard and/ Payment Application Standard
 
ISO – 9000/9001, 13000, 15489 (15489-1)
 
Moreq2, DOD 5015
 
NARA 36 CFR 1234
 
Federal, state or foreign data breach notification laws
 
International data privacy or security acts
 
Federal Information Security Management Act FISMA
 
Health Information Technology for Economic and Clinical Health Act (HITECH)
 
Industry standards
 
Parent company issued guidelines
 
Other

 
 
 
Are there any of the above standards that are followed or used for guidance but not audited to?
   
 
 
 
What are the restrictions as to who can view and/or handle company documents? For paper files? For electronic, if different?
   
 
 
 
How are the company policies on document security documented? How are they enforced?
   
 
 
 
Is compliance with Records Management policies and procedures an explicit topic in the newly hired bemployee briefing?
 
Yes
 
No
 
 
 
Is compliance with Records Management policies and procedures incorporated into performance reviews in any way?
 
Yes
 
No
 
 
 
Is compliance with Records Management policies and procedures, especially the declaration and disposition records, an explicit topic in exit interviews for departing employees?
 
Yes
 
No
 
 
 
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?
   
 
 
 
In general, how are the above Legal Hold policies and procedures monitored and enforced?
   
 
 
 
Future State Information
 
 
 
What are the existing immediate and future plans for the Records Management functions
 
Formalizing records management procedures
 
Centralization of records management functions
 
Consolidation of space
 
Deployment of new imaging applications
 
Classifying/tracking/archiving files that historically have not been
 
Increased document destruction
 
New software or hardware purchases
 
Other

 
 
 
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
   
 
 
 
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?
   
 
 
 
Does your firm have recent, ongoing or planned Six Sigma ™ activities?
   
 
 
 
Does your firm have recent, ongoing or planned Six Sigma ™ activities
   
 
 
 
Background Information
 
 
 
What Vertical Industry is the firm's primary business?
 
 
 
What is the firm size in terms of number of employees?
   
 
 
 
What is the firm size in terms of annual revenue?
   
 
 
 
What is the firms' geographic scope?
 
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