839 Exchange Street
Charlotte, NC 28208
©2006 FileVault USA
QUESTIONS TO ASK YOUR
RECORDS MANAGEMENT VENDOR
FileVault has been audited numerous times by our Fortune 500 clients. We are proud of our facility, procedures, and operations and know they are the best in our market.
When considering your potential vendor for your company's information, please use the below list of questions when interviewing your vendors. You deserve to know the answers to all of these questions.
- Please provide a brief description and history of your company.
- Please include information with respect to resources such as the facility, equipment, personnel and product line.
- Has a Quality Policy been defined and documented? If so, please provide a copy for our review?
- How is the Quality Policy communicated to employees so that it is understood at all levels of the organization?
- Please provide a copy of your organizational chart.
- Please describe job responsibilities of personnel in the organization.
- Please describe your Records Management System
- How is the Records Management System documented? Please make available your Quality Manual, Operating Procedure Manuals or other documents of your Records Management System
- Please describe your procedures to establish and maintain identification, collection, indexing, filing, storage, maintenance and disposition of records (your internal records)
- How are your internal records stored?
- Please provide the following records for review:
- Badge Reader Log for last 12 months
- Employee Confidentiality Agreements
- Fire Detection/Suppression Systems tests & inspection for last two years
- Copy of monthly Pest Control Activity Reports for last year; Copy of Pest Control Contractors’ License
- Current Items Due for Destruction Report
- Current Items on Loan Report (Outstanding Retrievals)
- Facility Security inspection & test records for last two years
- Copies of all audits (internal, no 3rd party) performed for the last three
- Physical addresses and contract names for each location
- A copy of all current insurance certificates
- A complete inventory of all records segregated by type available for review
- Volumes for last two years, receipts, retrievals and movements between locations
- Please describe your process/procedures and deleting access to data, files and information
- What is your records retention schedule
- Please provide the following information regarding your Information Systems and be prepared to discuss:
- Copy of the listing of boxes/records maintained at the facility, information to include who maintains the listing and uses it and for what business purposes.
- Computer Systems inventory flow chart
- Computerized record back-up procedures
- Who has access to back ups?
- What kind of firewalls do you have on your systems: identify location, type, reports generated. Has it been tested? Please provide evidence of tests of your firewalls.
- Please identify who has access to your system? Do all personnel with access to your system have job responsibilities requiring such access?
- Please provide the protocols of your employee passwords and logons and how often they are changed. Who is your System Administrator? How often are the files inventoried?
- Who owns the PCs/computers?
- Describe maintenance and calibration on Bar Code Readers and/or hand held peripherals; What is the back-up plan if they go down?
- How do you determine training needs and provide training for all personnel performing activities affecting quality and job performance?
- What training is provided to new or newly assigned employees?
- Please describe how training is tracked and documented for all employees. Be prepared to provide training records of employees.
- How do you verify the effectiveness of training?
- How do you verify employees understand their tasks and the relationship of their job to other activities in the organization?
- What is your policy regarding temporary employees? What job functions are temporary employees permitted to perform? What supervision and training is provided to temporary employees?
- Please describe your process for conducting background checks on your employees. Have background checks been performed on all of your employees? Be prepared to demonstrate that background checks have been performed on all of your employees?
- What is the proximity of your facilities locations to a fire station?
- Is your alarm system wired to the local fire station/police?
- What type of fire prevention system do you have in your facility?
- Please describe all fire prevention tools that are readily accessible.
- Describe the location of any sprinklers in your facility. Do you have certificates of approval, etc. for the sprinklers? If so, please provide any for our review.
- How often is your facility evaluated by the Fire Marshall?
- How often is there and internal review of your fire prevention plans/system? Please provide evidence of those answers.
- How are fire prevention plans communicated to your employees?
- Do you maintain any flammable materials ( e.g., propane tanks) in any of your company owned facility? Where and why are they stored?
- Please describe how the site is monitored and controlled.
- Please describe how you maintain a secure environment to prevent loss, damage or deterioration records in storage.
- How is the revocation of access by former employees handled and what is the time frame for revocation of access?
- What type of employees are handling boxes, salary vs. temp?
- Are the loading docks locked at all times?
- Describe the access to the facility permitted for drivers and /or delivery personnel.
- Please describe your pest control program. Identify the frequency and type of pest control services you receive.
- Please describe the environmental conditions inside and outside of your facility.
- What is your contingency plans in case of a major facility, equipment or system failure? Are your plans documented and tested?
- Please describe your supplier/subcontractor selection process. Is this procedure documented?
- Describe the role of site visits and/or site evaluations in your supplier selection process.
- How is supplier/subcontractor performance monitored and evaluated? What is the frequency of evaluating your critical subcontractors?
- What records do you maintain of your suppliers/subcontractors?
- How are customer records identified throughout the process?
- How is the shipping and receiving of all customers records tracked? Please include all specifics for the tracking of any files removed from boxes.
- Are work instructions documented for all record management functions?
- Please provide a copy of your procedure or work instruction for the following functions:
- Receiving boxes
- Storing boxes
- Filing System
- Archiving of Records
- Moving Boxes
- Retrieving/Sending Boxes
- Making copies of any records
- How are employees notified when new or updated procedures are issued?
- Please describe your cleaning and sanitizing procedures. Are these documented? If so, please provide for our review.
- How are materials that could compromise records controlled?
- How do you assure that records are handled to prevent damage or deterioration?
- What are your procedures for cleaning and maintaining your loading/unloading devices?
- Please define your pallet, box etc. label identification methodology.
Asking these questions can help you avoid the pitfalls of records management.
Records Storage | Off-Site File Storage | Media Vault
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June 19, 2013