Debi,
We do onsite audits every two years. I use the NARA CFR standard as a guide (36 CFR Part 1228 Subpart K). You can have performance levels for deliveries and notifications regarding things such as sales and acquisitions of providers in your agreements. I use the "spirit of the CFR" to cover basics such as security, organization(people and the facility itself- are there too many shelving units, is the processing area a mess etc.), access, pest control, fire control, disaster planning, training of employees, procedures and SOPs, and environmental controls. What are the standards you use for your onsite records for those factors? What are acceptable standards for your records held offsite given HVAC and structural limitations?

The point is they have demonstrated programs and processes. They have a security and access process and the hardware and building structure to back it up. They have a pest control program and you see evidence and documentation of it.

You can also gain a lot of information by paying careful attention when you visit. Look high and low for problems with pests and water intrusion. Are shelving units buckling or unsecured? Are there areas that seem especially dirty or messy and if so why? Are the fire doors secure or are they left open? Are dock doors left unsecured or propped open?(we witnessed this with former providers and we have pulled our inventory and terminated our relationship with them). Are employees engaging in safe workplace practices as they go about their tasks(I witnessed an employee standing on top of a pole trying get an overhead door open - if he had fallen he would have been injured or killed). Unsafe practices can lead to fires and structure collapses such as the event that happened in Landover, MD. That workplace accident led to the loss of many records for a lot of organizations. There is going to be paper dust of course. Look for things that seem out of the ordinary. We try to look at different facets of operations each time we visit since they usually don't change that much if at all with a  good vendor. If you do note changes, you can and should investigate further. Hopefully this helps!

Rob Seibolt, CRM
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Manager-Records and Library Services
http://www.mriglobal.org


-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf Of DEBI TADD
Sent: Thursday, February 04, 2016 10:31 AM
To: [log in to unmask]
Subject: Audit of Off-site Facility

Good morning all!

I've been looking in the archives for information on a checklist for auditing an off-site records storage facility.  I googled it and found a checklist that covers the building, but not much about the processes of the staff or verifying retrieval standards.

Has anyone ever done an audit of their off-site storage?  What did you use to mark them as either passing or failing?  Did you have a standard checklist or did you just ask questions when you got there?

This is my first time doing this - so any and all help is appreciated.


*BBVA Compass *

*Debi Tadd*
*Information Lifecycle Management, AVP*

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