Table of Contents
Record Catalog
Overview . . . . . . 2
Business Process/Function. . . . . . . 4
Record Type. . . . . . . . . 5
Record Author . . . . . . . 7
Record Custodian . . . . . . . . 8
Record User. . . . . . . . . 9
Record Owner. . . . . . . . . 10
Media . . . . . . . . .
11
Location . . . . . . . . .
12
Specific Location . . . . . .
13
Security Classification . . . . . . . . 14
Security Control . . . . . . . . 16
Retention . . . . . . . . . 18
Record
Catalog Overview
Description:
The Record Catalog is an inventory of
company record types, by cost center, and the characteristics about those record
types (such as their location, media, etc.).
The Record Catalog is maintained in a series of Excel spreadsheets.
Purpose:
The purpose of the Record Catalog is
to identify and centralize information about company records, in order to provide
a tool for their effective management. Effective management includes a record’s
quality, accessibility, protection, and retention during the record’s lifecycle
(creation, use, storage, and final disposition).
Definition:
The
number series defined by Corporate Accounting to distinguish a budget center.
Options:
Any
current cost center(s)
defined. An area may choose to combine
more than one cost center into one Record Catalog (Excel spreadsheet) for
convenience purposes of tracking, maintaining, etc.
Examples:
92501
63702
Business
Process/Function
Definition:
The
business activity performed by the area
Options:
Provide a brief description of the business activity or job function, using a verb.
Examples:
Pay commissions
Calculate ROI
Prepare annual statements
Administer policy changes
Develop marketing material
Manage customer relations
Record Type
Definition:
A record is defined as information stored
on any type of media with the intent to preserve the official business of the
organization. A record type is a descriptive label given to a group of records. A record
category is a grouping under which a record type falls. The Record Catalog inventories record types.
|
Record
Category |
Record
Type Examples |
Record
Examples |
|
Standards: Guidelines about acceptable quality or time expectations. |
Service Standards Work Standards |
48 Hour Service Challenge Workload Completion Time Standards |
|
Procedures & Forms: Steps to complete a process, and templates for completing a process. |
Claim Processing Procedures New Employee Resumes |
Claim Payment Procedure, Claim Approval Procedure, Claim Disbursement Procedure John Doe’s resume, Jane Smith’s resume, Bob Johnson’s resume |
|
Definitions & Rules: Commonly understood meaning of the terms and elements we communicate, and the specific rules under which we operate. |
Insurance Policy Definitions Policy Loan Rules |
Planned Premium, Cost Basis Loan calculation rules, Loan cap rules |
|
Relationship Records: Records of the company’s contractual relationships |
Policy Records Lease Contracts |
Jane Doe’s policy, John Smith’s policy IBM Software Contract, ABC Office Furniture Contract |
|
Transactions: Records of individual events that record our contractual relationships or financial processes. |
Beneficiary Changes New Agent Contracts |
Beneficiary change for Jane Doe, Beneficiary change for Don Ho Contract for Joe Agent, Contract for Betty Agent |
|
Communication Records: Records of our internal and external dialogue. |
Policyholder Annual Statement John Doe Litigation Records |
Annual Statement for Betty, Annual Statement for Joe Letter #1 from John’s attorney Letter #2 from John’s attorney Letter #3 from John’s attorney |
|
Trends and
Metrics: Values used to measure
our position in relation to standards, goals, or expectations. |
Audit Reports Weekly Trend Statistics |
Audit of Claims, Audit of Actuarial Calculations Premium received 12/5/05, Premium received 12/12/05 |
Guidelines:
·
When describing a record type, use its formal title or describe its
purpose and function. For example,
describe policy files as Fixed Annuity Policy Files. Describe system reports as Reports for
Commission Calculation.
·
Populate the Record Catalog with ALL media and locations where records
are stored. For example, records on
paper may also exist on microfiche or in a Word document.
·
Your Record Catalog should contain only the records that your
department creates and owns. If you use
or store another department’s records, verify the record is in their Record Catalog.
Record Author
Definition:
The
position title that creates the record type in
the course of fulfilling a job function
Options:
Any
existing PDQ title
Examples:
Department
representatives are responsible for carrying out procedures to do their jobs.
The Team Manager
is responsible for creating the procedure that they follow. In this example, the Team Manager is the
author of this record.
Sally Actuary is the department head of Product
Development and has created a memo explaining how a product’s value is
calculated. In this example, Sally is
the author of this item.
Record Custodian
Definition:
The
position title that maintains the record type
Options:
Any
existing PDQ title
Examples:
Department
representatives are responsible for carrying out procedures to do their jobs.
The Team Manager
is responsible for updating the procedure.
In this example, the Team Manager is the custodian of this record.
Sally Actuary is the department head of Product
Development and has created a memo explaining how a product’s value is
calculated. She updates it on a periodic
basis. It’s used as a reference by other
employees in the company. In this
example, Sally is the custodian of this item.
Record User
Definition:
The
primary position title that utilizes the record
type in the course of fulfilling a job function
Options:
Any
existing PDQ title or general description of user population
Examples:
Customer service
representatives utilize policy records to respond to customer inquiries each
day. The customer service
representatives are record users.
Corporate Marketing Communications produces the
Chronicle. The record user is “company
employees”.
Record Owner
Definition:
A record is the product of a process, and the Record
Owner is the position title accountable for that process
Options:
Any
existing PDQ title
Examples:
John Doe manages the Corporate Accounting Team. His Director, Jane, has assigned Joe as the
Record Owner for the records produced and owned by the Corporate Accounting
Team.
Media
Definition:
The
type of material on which the record is stored
Options:
|
Media |
Definitions |
|
|
Electronic |
CD |
Compact
Disk media storage. |
|
Computer
Tape |
Magnetic
tape on a reel or in a tape cassette.
Commonly used for back up. |
|
|
Magnetic
Disk |
Disk
on a server that can be accessed by multiple users, or the internal hard
drive on a PC that can only be accessed by the individual at that PC. |
|
|
Fiche
/ Film |
Photographic
media. Images are created, reduced,
and put on reels or fiche pages. |
|
|
Floppy
Disk |
A
removable magnetic disk. |
|
|
Paper |
Physical
media storage device. |
|
|
Audio
/ Video Tape |
Tape
media used to store visual or audio information. |
|
Examples:
Many records are stored in Microsoft products, such
as PowerPoint, Excel, or Word. The media
on which they’re stored is “electronic”.
Many records are stored in systems such as ID3,
Clarity or TeamPoint. The media on which
they’re stored is “electronic”.
Location
Definition:
The
physical place where the record is stored
Options:
|
Locations |
Definitions |
|
Server |
A
computer that utilizes shared directories on various hard drives. (Examples: Microsoft products such as PowerPoint,
Excel, Word). |
|
Software? |
(Examples:
Clarity, |
|
Mainframe |
Application-Specific
Midrange or Mainframe computer. A
self-contained computer that holds input/output information utilizing various
devices that process application transactions. (Examples: Peoplesoft, ID3, TeamPoint). |
|
Department
Central File |
A
central filing cabinet, desk, or other storage container used by a team,
area, or department. |
|
Personal
File |
A
filing cabinet, desk, or other storage container used by an individual. |
|
Offsite
Storage |
Authorized
commercial offsite vendor. (Used for back up, archival and overflow storage.) |
|
Hot
Site ELIMINATE? |
CBO
computer location with current active back-ups. |
Examples:
Record types are stored in
Clarity. The location choice is…
Record types are stored in
Excel spreadsheets. The location choice
is…
Record types are stored in
ID3. The location choice is…
Specific Location
Definition:
The
electronic location where the record is stored
Options:
This column is only required
for electronic records at this time.
Options include: any mainframe or
software application name, OR any server/directory/file path.
Examples:
ID3, PeopleSoft, Clarity,
TeamPoint,
Server: AZLUSA,
File Path: Accounting/Reports
Security Classification
Definition:
Classification of information into categories to help identify the value of the information
(For full definitions and
information about security, please refer to the (company) Security Policy &
Standards.)
Options:
1. Strictly Confidential:
Strictly confidential
information is intended for a narrowly defined group of individuals who must be
specifically authorized by name. Strictly
confidential data contains
information which, if disclosed, would provide access to business secrets and
could jeopardize (company) interests or actions of the company and/or its
customers or would be to the serious personal or financial detriment if
revealed to unauthorized persons.
2. Confidential:
Confidential information may only be accessed by
a limited group of individuals. Disclosure of confidential information may lead to a contravention of business
secrecy. Improper or unauthorized use of
confidential information may infringe
on (company) ability to carry out day-to-day business activities and may be
detrimental to its reputation. Financial losses may occur as the result of
unauthorized disclosure of confidential
information.
3. Internal:
Applies to information that is intended for use by
all users when conducting (company) business. Internal information is defined as
“information for business internal use only.” This business information is
typically required for normal day-to-day work activities. Internal is (company) default data classification level. This level
also includes any information that is exchanged between different (company)
Group subsidiaries, provided such information does not include content
classified as confidential or strictly confidential. Internal information can be restricted
by the information owner.
4. Public:
Only information classified as public may be made available to the
general public. When classifying information as public, care must be taken to prevent accidentally disclosing
accompanying information classified as internal,
confidential or strictly confidential. .
Information in this category does not warrant special protection or
restricted access security measures.
Examples:
Examples of strictly confidential information include, but are not limited to
future business and marketing plans, strategies and financial results that are
not of the public record or merger and acquisition plans.
Examples of confidential information
include, but are not limited to, policyholder information, agent information,
personnel records, lists of agents or policyholders and protected health
information.
Examples of internal information include, but are not limited to, operational
business reports, procedures, policies, processes and announcements.
Examples of public information
include, but are not limited to, current brochures, advertisements, annual
reports, etc
Controls
Definition:
How the access to information must be protected, as indicated by its level of classification
Options:
|
Classification |
Media Type |
Controls |
Control Definition |
|
Confidential
& Strictly Confidential |
CD-ROM,
CD-RW, DVD, Computer Tape, Fiche / Film, Floppy Disk, Paper, Audio / Video
Tape |
Locked
container |
When
not in use, locked in a dedicated storage container, i.e. desk, cabinet,
etc., within an approved area. A data encryption or
system lock that prevents unauthorized use is recommended. |
|
Magnetic
Disk |