Record Series creation and Maintenance
Maturity Level
Level 0: Non-Existent
The practice is not implemented or acknowledged.
Record series are not formally created or maintained, or records are stored haphazardly.Example Strategies
- Identify individuals within the entity that have familiarity with records and records series for any subpart of the entity for a baseline understanding of the status of the entity.
Level 1: Ad Hoc
Practice may occur but is undocumented (no policies or procedures), application is reactive and not standardized.
Some informal record series exist, but there's no consistent process for their creation or updates.Example Strategies
- Develop a preliminary "File Plan" for organizational units.
Level 2: Defined
Practice is implemented and documented, but documentation may not cover all relevant aspects, and application may be informal and inconsistent.
A basic process for creating record series is documented, but it might not explicitly integrate privacy considerations or be consistently followed.Example Strategies
- Formally group all data into record series with shared attributes.
Level 3: Consistently Implemented
Practice is documented to cover all relevant aspects, application is formal and consistent.
The entity has a formal, documented process for creating and maintaining record series that explicitly includes privacy considerations, ensuring data minimization and proper classification from the outset.Example Strategies
- Audit electronic storage to ensure alignment with record series.
Level 4: Managed
Practice is actively managed with metrics that are regularly reviewed to assess efficacy and facilitate improvement.
Metrics are collected on the timeliness of record series updates, the completeness of privacy annotations, and how frequently new data collections lead to new or modified record series.Example Strategies
- Implement AI-driven auto-classification for all incoming data.
Level 5: Optimized
Practice is fully embedded in the entity with recognition and understanding across the workforce through active training and awareness campaigns, and inclusion in operations and strategy.
Record series management is fully integrated into the entity's data governance framework, with automated tools supporting their creation, maintenance, and privacy review.