Trustworthy Information Systems Handbook: Appendix G, Legal Risk Analysis
Legal Risk Analysis Tool: Questions to Consider
As you assess your legal risk with respect to records management, these are some broad questions to consider:
- What records are critical to your agency's/department's operations?
- What do you absolutely need to protect in order to function over the short term? Long term?
- Do you share data with other agencies/government entities? What responsibilities have you assumed with those functions?
- Are you conducting business functions using electronic transactions? Are you relying on electronic records as evidence of those transactions?
- Have your auditors expressed any concerns about your transactions or programs? Can you identify the records they used to identify those concerns?
- Are there any laws or regulations that dictate your use of records? Is there a signature requirement? Specified retention periods? Reporting requirements
- How long do you need to gain access to your records?
- What medium and format do you use to store your electronic records?
- What steps have you taken to preserve you electronic records over time?
- Do your records contain private or confidential data?
- To which of your records does the public/media request access?
- Have you had any data practices complaints?
- Have you been sued? Over what? What records were critical to the case?
- What records-related training does your staff receive? Are there periodic refresher sessions?
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TIS Handbook last updated July 2002, Version 4.
