Incoming file collection? Here are ten things to consider during your audit.

Posted by TAB on

In every merger or acquisition, part of the package includes records. Lots of them.

For the manager of the acquiring organization, it is a huge task to sort through the incoming records and successfully incorporate them into your existing records management system.

TAB has helped many organizations tackle this challenge. The secret to success is to take a systematic approach to the file audit. This makes the process run more smoothly and minimizes costly errors, including misfiling, mislabeling, and the retention of unneeded documents.

To help you prepare for a file audit, we put together a list of the top ten questions to ask when reviewing the collection. You can use this as a roadmap to ensure that you cover all the bases and minimize risk.

  1. Are document retention schedules in place?
  2. Do destroyed records have adequate documentation?
  3. Are the contents of files complete?
  4. Do the file contents adhere to privacy requirements?
  5. Are there duplicates that can be destroyed?
  6. Are files structured in a way that is consistent with standard practices and aligned to user needs?
  7. Are file labels consistently applied in accordance with the standards of your RM program?
  8. Are electronic folder names in keeping with the standards of your RM program?
  9. Do the storage systems provide adequate security and maximize the use of space?
  10. Are the filing equipment and supplies compatible with those already in use in your company?

The sheer number considerations shows just how big a job it is to successfully onboard a new records collection. While these question will inevitably uncover a few issues (resulting in a big job getting even bigger!) – the good news is that they will ensure you aren’t facing more serious issues down the road.

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