Records disposal certification

Control Design Assessment (CDA)

Procedures evaluating whether the control is designed adequately.

1. 1.Obtain and read the retention schedule and disposal certification procedure; confirm disposal timing and certification responsibility are defined per record class.
2. 2.Confirm the procedure requires certification evidence to be retained after disposal.

Control Operating Effectiveness (COE)

Procedures evaluating whether the control operated over the testing period.

1. 1.Select 25 expired record classes and confirm each was disposed within the retention schedule.
2. 2.Confirm disposal certifications exist and were signed by the responsible owner.
3. 3.Confirm disposal backlog items were tracked and escalated.

Linked risks

• Records over-retention liabilitymitigation 3

Framework mappings & latest test