Tammy,

The records management function in my company is located in Internal
Audit.  Consequently, I'm always being pulled in to support Audit which
is a good thing for records management.  We are also an ISO facility and
have strong executive management and Legal support.

Presently, each time a business group is audited the document trail is
reviewed.  Additionally when ISO certification is due, the RM function
is reviewed.

In the future when the RM program is fully in place, each area will be
spot audited by my function for RM policies and procedures compliance.

The consequences for non-compliance are "a corrective action" allowing
the unit to remediate the problem.

Business units vary greatly on how they receive audits.

My advice, I would try to work with my internal audit department on
records management issues.

Melody

-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On
Behalf Of Tammy Russo-Leschber
Sent: Wednesday, October 20, 2004 2:35 PM
To: [log in to unmask]
Subject: Question: Implementing a RM Compliance Audit Program

ListServ Members:

Hello.

I am looking for guidance/best practices from RM Organizations who have
implemented a Compliance Audit Program to gauge compliance with
established RM Polices.
To prompt the conversation, I have the following questions:
- How was the Compliance Audit Program implemented? Was Executive
endorsement obtained?
- What RM components were audited within the business?
- How was the compliance audit received by the business?
- How often was each business unit audited?
- What were the consequences of non-compliance?

Your comments are appreciated.

Thanks in advance,

Tammy Russo-Leschber
Dell|Records & Information Management
Phone: (512) 728-1959
E-Mail:  [log in to unmask]

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