Creating an Effective Recordkeeping Policy

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• Creating an Effective Recordkeeping Policy
• Philippa Tucker
• Government Recordkeeping Forum, April 2003
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  

2
Creating an Effective Recordkeeping Policy

• 1. Why have a recordkeeping policy?
• 2. How to design an effective recordkeeping
  policy
• 3. Implementing a recordkeeping policy
• 4. How can Archives New Zealand help?

3

• A recordkeeping system must have accurately
  documented policies, assigned responsibilities
  and formal methodologies for its management.
• - Archives New Zealand, Recordkeeping Framework,
  September 2001

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The Importance of a Recordkeeping Policy

• Supports accountability
• Is a matter of good business management

5
ISO 15489

• An organisation should establish, document,
  maintain and promulgate policies, procedures and
  practices for records management to ensure that
  its business need for evidence accountability and
  information about its activities is met.

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So, what makes a good recordkeeping policy?

• Remember to ensure that it
• Is tailored to your organisation
• - E.g. its specific culture, records, functions,
  terminology, etc.
• Isnt just written, authorised, and forgotten!

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How to design an effective recordkeeping policy

• A. Planning
• Establish recordkeeping requirements
• Analyse existing recordkeeping documentation
• Identify analyse your agencys objectives
• Identify analyse regulatory requirements
• Identify classes of records to create maintain
• Analyse current recordkeeping behaviour
• Consult

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How to design an effective recordkeeping policy

• B. Drafting objectives
• Single document
• Clear and concise
• Accurate and relevant

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How to design an effective recordkeeping policy

• C. What to include
• Purpose
• Scope
• Policy Statement
• Regulatory Framework
• Records Management Systems Recordkeeping
  Principles

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How to design an effective recordkeeping policy

• C. What to include (cont.)
• Responsibilities
• Monitoring and Review
• Authorisation
• Definitions
• References

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Keys to Implemetation

• A recordkeeping policy must be
• properly supported
• AND
• disseminated

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Policy is supported

• Supported by Management
• from the highest level of the organisation
• Supported by other documents
• i.e. separate procedural manuals

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Policy is disseminated

• Examples
• Hard copy to all staff
• Posting on the intranet
• E-mail messages to all staff
• Reminders in staff newsletters
• Staff training
• Manuals
• Job descriptions/ performance reviews

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Monitoring and Reviewing the Policy

• Test for staff compliance
• Regularly review the policy

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How can Archives New Zealand help?

• Published resources
• E.g. Recordkeeping Framework, International
  Standard ISO 15489, Guide to Developing a
  Recordkeeping Policy, Recordkeeping
  Responsibilities
• Facilitating agency exchange of information
• Advice
• Submit policy for comment review