Risk and Records at UTS THINK.CHANGE.DO. Records Management Program >University Records, Governance Support Unit, Registrar, DVC (Corporate Services)

Slides:



Advertisements
Similar presentations
Smarter Information Management Presenter: Dianne Macaskill Chief Executive Archives New Zealand.
Advertisements

Introduction to Records Management Policy
Changing Recordkeeping Culture at the University of Western Sydney Michael Smith Manager Records & Archives Mgt Services.
Debt Management Strategy: Governance and Transparency
Health Records Management Practitioner
Identification and Disposition of Official University Records University of Texas at Arlington Records Management.
Massachusetts Digital Government Summit October 19, 2009 IT Management Frameworks An Overview of ISO 27001:2005.
1 Auditing in the Public Interest Records Management in the Victorian Public Sector Audit objective Audit had two objectives : The first objective was.
Records Management for UW-Madison Employees – An Introduction UW-Madison Records Management UW-Archives & Records Management 2012 Photo courtesy of University.
Business Continuity and Disaster Recovery Planning.
Environmental Management System (EMS)
Standard on records management Catherine Robinson Senior Project Officer, Government Recordkeeping Records Managers Forum, 26 November.
The Office of Information Technology Information Security Administrator Kenneth Pierce, Vice Provost for IT and Chief Information Officer.
AUDIT COMMITTEE FORUM TM ACF Roundtable IT Governance – what does it mean to you as an audit committee member July 2010 The AUDIT COMMITTEE FORUM TM is.
Risk Management at ANZ Banking Group Jun 18, 2008 Patrick Zhu Head of Retail Risk China Partnerships.
Enterprise Risk Management EXECUTIVE POLICY GROUP Enterprise Risk Managementwww.utdallas.edu Enterprise Risk Management Campus Safety.
Implementing and Auditing Ethics Programs
Insitutional Records and Archives - J. Paul Getty Trust Archival Permanence at the J. Paul Getty Trust Getty Institutional Records and Archives ASIDIC,
Environmental Management Systems The ISO Approach Initial Environmental Review & Gap Analysis Presented by: NC Division of Pollution Prevention.
HDA’s revised strategic direction and Annual Performance Plan 2013/14 March 2013.
Preparing Scotland’s first Records Management Plan Ava Wieclawska Records Manager.
Ferst Center Incident Incident Identification – Border Intrusion Detection System Incident Response – Campus Executive Incident Response Team Incident.
Accelerated EMS Session 4 – 28 January 2008.
Privileged and Confidential Strategic Approach to Asset Management Presented to October Urban Water Council Regional Seminar.
National Association of College and University Attorneys 1 November 11, 2009 NACUA Fall 2009 Workshop November 2009.
1 BUSINESS CONTINUITY AND DISASTER RECOVERY PLANNING Reducing your Risk Profile MIDWEST DATA RECOVERY INC.
International Civil Aviation Organization European and North Atlantic Office SAFETY MANAGEMENT Elements Michel Béland ICAO Regional Safety Officer Europe.
Peer Information Security Policies: A Sampling Summer 2015.
Effectively applying ISO9001:2000 clauses 5 and 8
Evolving IT Framework Standards (Compliance and IT)
An Educational Computer Based Training Program CBTCBT.
Electronic Records Management: What Management Needs to Know May 2009.
Developing and Implementing an Effective Compliance Program Mary Sacilotto,BA,CHC Chief Compliance Officer Alliance, Inc.
Government Recordkeeping Update Allegra Huxtable Manager Government Recordkeeping.
Recordkeeping Capability: Public Records Act Audit Programme Darrin Goulding, Project Manager, Public Records Act Audit Strategy Kate Jones, Senior Advisor,
Records & Information Management (RIM) Risk: Is Your Company Exposed? March 19, 2013.
Public Records Act 2005 Audit Programme Update presented to Government Recordkeeping Forum, Auckland John Roberts, Acting Group Manager, Government Recordkeeping.
Implementing the Standard on digital recordkeeping.
Environmental Management System Definitions
Electronic Document and Records Management System (EDRMS) Initiative EDRMS Lunch and Learn Rob Lake and Andrea Hare November 21, 2013.
Bank Audit. Internal Audit Internal audit is an independent, objective assurance activity and can give valuable insight in providing assurance that major.
State and Local Records Management DISASTER PLANNING Presented By State and Local Records Management Division Texas State Library and Archives Commission.
Recordkeeping Forum - Wellington - 05/09/2007 Setting the Standard for Storage Patrick Power Government Recordkeeping Progamme Archives New Zealand.
The Government Recordkeeping Survey 2008 Natalie Dewson, Senior Advisor, Government Recordkeeping Programme, Archives New Zealand.
“Integrating Property Management with Emergency Recovery” Ivonne Bachar, CPPM CF Director, Property Management Office Stanford University
Standard on Counter Disaster Strategies Catherine Robinson Senior Project Officer, Government Recordkeeping RM Forum 23 rd February 2004.
National Archives and Records Administration, Preparing for the Unexpected ESSENTIAL ELEMENTS: ANALYSIS.
Converting Policy to Reality Designing an IT Security Program for Your Campus 2 nd Annual Conference on Technology and Standards May 3, 2005 Jacqueline.
Records and the Law Jan Liebaers Cayman Islands National Archive.
1 Records Management Organization The Committee provides guidance on operating the company’s records management program.
Managing Records: Good government, Better business. FOI Presentations to Boards & Committees Cayman Islands National Archive November 2008.
IT Security Policies and Campus Networks The dilemma of translating good security policies to practical campus networking Sara McAneney IT Security Officer.
SCHOOLS FINANCE OFFICERS MEETINGS Records Management, “Paper-Lite” Environments and Procedures when a school closes Elizabeth Barber.
ISMS Implementation Workshop Adaptive Processes Consulting Pvt. Ltd.
Tax Administration Diagnostic Assessment Tool
The Second Annual Medical Device Regulatory, Reimbursement and Compliance Congress Presented by J. Glenn George Thursday, March 29, 2007 Day II – Track.
Accreditation Update to ICC Student Development & Services March 16, 2015 Gohar Momjian Associate Vice Chancellor of Institutional Development Accreditation.
Disaster Preparedness and Recovery Planning: situation in UN HQ, NY No policy document mandating vital records protection No resources have ever been.
2 CLLD Programme Devon SIP Briefing Rebecca Cosgrave Ruth Dreher.
MODULE 7: CONDUCT OF GOVERNANCE AUDIT GOVERNANCE AUDITOR ACCREDITATION COURSE.
Agency Briefing - Overview
Setting up long term digital preservation DLM Forum Member Meeting Luxembourg 14-15th October 2015.
Recordkeeping Standards Kathryn Dan, with acknowledgements to Kye O’Donnell, Public Record Office Victoria.
Effective Board Governance & role of the Audit Committee Presentation by Cluster Audit Committee – July / August 2012.
Records Coordinator Roles and Records Skills Kathryn Dan.
What standards, relevant to me, are there? Barbara Reed Chair, Standards Australia IT 21 Committee on Records and Document Management Systems.
Risk Management and the Treasury Function
UNIT V QUALITY SYSTEMS.
RECORDS AND INFORMATION
The Role of Risk Management in VAT Administration
Presentation transcript:

Risk and Records at UTS THINK.CHANGE.DO

Records Management Program >University Records, Governance Support Unit, Registrar, DVC (Corporate Services) –6½ dedicated f/t positions >Devolved system –2 campuses (city campus over several blocks) –7 Faculties & 41 Units, totaling over 200 business units –Approx 974 academic / 1434 support staff (2010 head count).

Records Management Program >Approach –Systems implemented across all areas….AND… –High risk business activities and high risk areas targeted >Roles and responsibilities –Primary Records Contact in each Faculty/Unit –Records Contacts in every business unit to facilitate recordkeeping activities

Imbedding Risk in the Records Management Program >Risk Management Framework and Disaster Recovery Plan >Inc traditional Counter Disaster Plan and incorporates risk related programs as part of prevention strategies, inc: –Records Management Program –Vital Records Program –Repository and Archive Management Program –Destruction Program –Digital Recordkeeping

Imbedding Risk in the Records Management Program >Audit and Risk Committee’s Audit Schedule –2009 Records Audit undertaken –Key outcome was restructure of assessment program >History of Assessment Program – [resourced - all business units visited annually] –2006 [all business units undertook self-assessment] –2007 to 2009 [only 10% high risk areas visited]

Imbedding Risk in the Records Management Program >New Records Assessment Program (c. late 2010) ** –Resourced –Risk focused schedule of assessment –Self assessment and risk assessment activities –Liaison and monitoring of completion and results –Planning and review

Assessment Program >Self-Assessment Schedule –Triennial schedule based on their risk and our resources Yearly: areas maintaining central collections of high risk records critical to operations Bi-annual: other considered medium-high risk, but not centralised Triennial: remaining areas

Assessment Program – Stage 1: Self-Assessment Process >Self-Assessment Tool** Responsibilities / delegations (inc. list contacts and training) Storage of records (inc. assessment & approval) Planning (inc. id business activities & records) Security / confidentiality Creation of official filesDigital recordkeeping systems (inc. assessment / approval) Filing documentsArchiving and Destruction Managing physical filesRisk mgt / disaster prevention

Assessment Program – Stage 1: Self-Assessment Process >Records Storage Risk Assessment Tool** Environmental conditions Fire / water Location of storage areas Method of storage

Assessment Program – Stage 2: Planning >Records Management Plan** Communication plan Routine recordkeeping New projects arising from Self-Assessment New projects arising from Records Storage Risk Assessment New projects arising from planning restructures / office moves New projects arising from legal / policy changes

No such thing as set and forget…it doesn’t end here… >UTS Planning & Improvement Framework’s Quality Cycle >Review outcomes of the assessment program >Review tools >Review schedule >Monitor review of Records Management Plans >Incorporate common / high risk issues into training program to mitigate against risk of ongoing systemic issues

New element - Digital Recordkeeping >Identification of systems –Liaised with ITD –Cover requirements in communication and training –Included in self-assessment process >Existing systems –Digital Recordkeeping Identification Tool** Identify whether system supports “high risk” activity Identify whether records are created and where held

New element - Digital Recordkeeping >Existing and New systems –Digital Recordkeeping Assessment Tool** Recordkeeping functionality Metadata requirements Metadata map –Action Plan - priorities and decisions based on Resources Existing level of system compliance Nature of the records