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Is your organization an example of excellence in managing records and information and worthy of the ARMA International Cobalt Award? Start by answering 12 prequalification questions. Each is designed to see if your organization has what it takes to win the coveted Cobalt Award. If you feel your organization is up to the challenge based on these prequalification questions, you're ready to move on to the formal application process. If it doesn't, you may want to reassess your program (see related resources) and then try again.

Question 1 : Does your organization have a formal, written records and information management policy statement that requires adherence by all management, staff, and contractors?

Best Practice: A records and information management policy can be one over-arching document or a set of cohesive or linked policy statements. A policy may contain specific references to other key organizational policies, procedures or technical guidelines that have a records management component (e.g. information security policy, e-mail policy, privacy policy, etc.)  The policy scope should be comprehensive to ensure all records are identified, and requires all employees to be responsible for managing their records and information.

Question 2 : Does your organization have a formal, written policy regarding information security and controls?

Best Practice: Policies and procedures for keeping records must ensure that the records are complete, authentic, and kept in support of all business purposes for as long as they are required. Organizations should have formal policies and guidelines regulating who is permitted access to records and in what circumstances. These may include key card access to locked areas or use of Dutch doors/reference counters. Networks may control access to directories and subdirectories. Systems directors or network administrators must be prepared to swear in court that a system functions in a particular way and they must be able to explain security protections surrounding regular use.

Question 3 : Does your organization have a formal, written privacy policy?

Best Practice: It is very important for each organization to have some form of privacy policy that deals with how information of a personal nature is protected and that is in tune with the regulatory environment of the organization (complies with existing legislation or corporate expectations)

Question 4 : Does your organization have a formally approved business continuity plan?

Best Practice: Business continuity plans are used by organizations to prepare for future incidents that could jeopardize the organizations core mission and its long term health.  Backup methods, especially for each vital records series should be employed to ensure access to information in case of a disaster or business disruption. This could be anything from systems back-up, to microfilm to hard copy duplication or dispersal

Question 5 : Does your organization have a formal, written policy for handling litigation holds?

Best Practice: Records pertaining to pending or actual litigation or investigation must not be destroyed. Destruction of such records could be interpreted as selective destruction of material that would hurt the organization's legal position in court proceedings

Question 6 : Does your employee manual or other policy or procedure include a statement from the organization’s top executive about the importance of records and information management?

Best Practice: It should be clear to all who read the policy that the proper management of the organization’s records is a mandate of the highest importance in the overall success of the organization. A records keeping program includes people, processes, policies and resources, including automation.  Programs may have a number of software applications, classification plans and procedures. However, complete integration is desirable for overall program effectiveness. Successful records management programs and systems are those that are endorsed and supported by executive management.

Question 7 : Does your organization manage e-mail based on its content?

Best Practice: The policy scope should be comprehensive to ensure all records are identified. The storage format (e.g., e-mail, audio tape, video tape, instant messaging, microfilm, etc.) is irrelevant to the retention of records. Records retention periods should be based on the content of the information, not the format

Question 8 : Does your organization provide ALL employees with formal training on their roles and responsibilities in managing records and information?

Best Practice: The organization should ensure the policies are distributed to all employees. It may be desirable to have key stakeholders specifically acknowledge that they received the policy and understand their responsibilities.  New employee orientation is a good time to ensure that all staff are aware of the records offices, the records classification plan and the importance of records-keeping to the health of the organization.  Periodic records and information management training of all employees is critical to ensure the success of the records management program.  Training programs may consist of in-house seminars, workshops, on-line web based education or even simple review of professional development needs.

Question 9 : Are all RIM staff trained on current policies, procedures, practices, and systems?

Best Practice: As part of each RIM staff performance appraisals, records competencies should be evaluated against the needs of each job.  Where deficiencies or gaps exist, opportunities should be made available to staff members (e.g. University or College Courses, Professional Seminars, Access to Internet Research, and/or Web-based Education).

Question 10 : Does your organization regularly backup its systems and data?

Best Practice: Organizations should make a copy of their data residing on primary, online storage devices at regular, scheduled intervals.  The primary purpose of data backup is to provide the capability of recovering critical data when online processing is interrupted or when data loss occurs

Question 11 : Has your organization assembled an information management compliance team? That includes RIM and IT stakeholders?

Best Practice: Most businesses recordkeeping systems have migrated from paper to digital environments.  RIM must be part of a multidisciplinary team addressing electronic records issues, that includes IT, legal, compliance, and other stakeholders.  RIM professionals must be proactive in demonstrating the value of RIM to the multidisciplinary team.

Question 12 : Does your organization rely on back-up tapes to retain and/or produce data for litigation?

Best Practice: Back-up tapes are not designed to be an archival mechanism. They should be used purely as a disaster recovery tool in the event that a server fails. A well-designed archival system should be used as the data pool for litigation instead of tapes.

How did you do?
If you're ready for the challenge, follow this link to apply for the prestigious Cobalt Award!

*Please allow up to 48 hours after submitting the application fee to receive instructions by e-mail.