A GUIDE TO DEVELOPING A RECORDKEEPING POLICY

> INTRODUCTION

TABLE OF CONTENTS

• 1.

  PURPOSE
• 2.

  SCOPE
• 3.

  POLICY STATEMENT
• 4.

  GUIDELINES
• 4.1.

  RECORDS MANAGEMENT SYSTEM
• 4.2.

  RECORDKEEPING PRINCIPLES
• 5.

  REGULATORY FRAMEWORK
• 6.

  RESPONSIBILITIES
• 7.

  MONITORING AND REVIEW
• 8.

  AUTHORISATION
• APPENDIX 1. DEFINITIONS
• APPENDIX 2. REFERENCES

MINISTRY OF BEST PRACTICE RECORDKEEPING POLICY
Date of Effect 1 February 2002
Date of Last Revision 1 February 2006
Contact Corporate Information Officer

1. > PURPOSE

The purpose of this policy is to provide a framework and assign responsibilities for ensuring that full and accurate records of the business activities of the Ministry of Best Practice are created. It aims to ensure that these records are managed and maintained for as long as they are required to support business functions and accountabilities until their disposal in accordance with the authorised retention and disposal schedule.

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2. > SCOPE

This policy applies to all staff of the Ministry of Best Practice, whether permanent or temporary, including contractors and volunteers.

This policy applies to all business activities performed by or on behalf of the Ministry, in whatever manner they are conducted. This includes all written correspondence, whether paper or electronic, and all spoken transactions, including meetings and telephone calls. Equally, it covers all records of these activities regardless of the media in which they are captured.

All of the Ministry's policies, practices, systems, and procedures pertaining to recordkeeping are to be consistent with this policy.

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3. > POLICY STATEMENT

The Ministry of Best Practice is committed to achieving government aims as stated in the Best Practice Act 1998. It will ensure support for all staff to achieve the outcomes of the Ministry and delivery of services to public and to government. The Ministry affirms that the promotion and practice of good recordkeeping is a key strategic focus for meeting these outcomes.

The Ministry is subject to the Public Records Act 2005. This requires the creation and maintenance of full and accurate records that support the day-to-day functions and business activities of the Ministry. These records provide evidence of these functions and activities and form part of the public record. Through its commitment to best practice recordkeeping, the Ministry acknowledges its accountability to government, to its clients, and to the community.

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4. > GUIDELINES

4.1 > RECORDS MANAGEMENT SYSTEM

The Ministry maintains an electronic records management system, 'Best Practice Records' [BPR], for the management of all public records in all media (excluding records already held in core business information systems). The key processes managed by this system include:

• the capture of all internal public records;
• the storage of all internal public records;
• security and access to such records; and
• the disposal of records in accordance with the authorised Retention and Disposal Schedule.

BPR is to be used in the Head Office and in all regional offices. Electronic records are to be captured directly into BPR. Paper and other records are to be registered into BPR and filed appropriately in the corporate filing system for physical files. Physical files may be stored in designated areas of Head Office and each of the regional offices.

The Corporate Information Officer is responsible for the operation and maintenance of BPR in all offices, with technical support from the IT division. User guidelines have been issued to all staff and are accessible on the intranet and on the system itself.

Core business systems maintaining public records outside BPR include the:

• Online Register of Best Practice Certifications
• Best Practice Employee Management System

The Corporate Information Officer works with the managers responsible for these systems to make sure that records are managed and maintained as required in these systems.

4.2 > RECORDKEEPING PRINCIPLES

This Ministry expects that:

• All staff will create and maintain full and accurate records of all business activity.
• All public records will be captured into the central recordkeeping system according to the Ministry of Best Practice Records Management Procedural Guide. This guide is issued separately. Staff may not keep public records in separate, individual filing systems or on their hard-drive.
• All records will be named in accordance with the corporate classification scheme, 'Best Practice Classification Scheme' [BPCS].
• Physical files will be kept in the designated areas unless required for specific purposes. The location of physical files will be kept up-to-date at all times in the central recordkeeping system.
• No staff member will dispose of public records unless authorised to do so.
• A Retention and Disposal Schedule has been issued which will be routinely assessed and routinely applied in accordance with the Ministry's Records Management Procedural Guide.
• A migration strategy will be instituted. This strategy will identify records of ongoing value and ensure that they continue to be accessible over time by migrating them through successive software systems. This will be identified in the IT policy and be reflected in ongoing management procedures.
• Vital records have been identified and particular attention will be paid to their protection. For further details, see the Ministry of Best Practice Disaster Preparedness Plan.

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5. > REGULATORY FRAMEWORK

Relevant legislation with which this policy complies includes:

• Best Practice Act 1998
• Public Records Act 2005
• Official Information Act 1982
• Privacy Act 1993
• Employment Relations Act 2000

This policy also complies with the following Standards and Codes:

• Public Service Code of Conduct
• International Standard on Records Management, ISO 15489
• Archives New Zealand Continuum Resource Kit (contains standards and best practice practice advice in the form of guides and fact sheets)

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6. > RESPONSIBILITIES

The Chief Executive is responsible for:

• Ensuring compliance with legislative requirements for recordkeeping, including the Public Records Act;
• Authorising the recordkeeping policy;
• Assigning responsibilities for recordkeeping;
• Supporting recordkeeping in the Ministry;
• Ensuring that corporate policies support the creation and maintenance of full and accurate records of the Ministry's functions and activities;
• Ensuring that the Ministry's recordkeeping policies and procedures will meet best practice guidelines and stand up to external scrutiny;
• Ensuring that no illegal records disposal takes place.

The Corporate Information Officer is responsible for:

• Ensuring that the Ministry's recordkeeping procedures support the aims of this policy;
• Ensuring that information about the Ministry's recordkeeping policies, systems, and procedures is communicated throughout the organisation;
• Ensuring that staff are sufficiently trained and supported in appropriate use of the Ministry's recordkeeping systems;
• Monitoring and auditing compliance with the Ministry's recordkeeping systems;
• Ensuring that no illegal records disposal takes place;
• Regularly reviewing this policy;
• Regularly reviewing procedures to ensure that they are relevant, useful, and meet the Ministry's needs.

Each Group Manager is responsible for:

• Ensuring that all new staff receive records management induction;
• Monitoring staff compliance with the Ministry's recordkeeping systems;
• Ensuring that no illegal records disposal takes place;
• Ensuring that the recordkeeping practices in their group meet best practice guidelines and can stand up to external scrutiny.

All Staff are responsible for:

• Complying with the Ministry's documented records management policies and procedures;
• Creating full and accurate records of activities, transactions, and decisions carried out during the course of daily business activity;
• Ensuring that such records are maintained by being captured into the Ministry's records management system, BPR, and by handling records with care and respect so as not to damage them or compromise their integrity;
• Preventing unauthorised access to records;
• Ensuring that no records are destroyed or removed unless permitted by a current disposal authority.

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7. > MONITORING AND REVIEW

This policy will be regularly monitored and reviewed to ensure that it remains relevant to the organisation's business aims and requirements. Staff compliance with the policy and associated procedures will be monitored on an ongoing basis through staff self-assessment and by group managers, and by the Corporate Information Officer. The next date for policy review is February 2008. The review will be conducted by the Corporate Information Officer.

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8. > AUTHORISATION

Approved

Joan Doe
Chief Executive
Ministry of Best Practice
Date: 1 February 2006

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APPENDIX 1. > DEFINITIONS

For the purposes of this policy, the following definitions apply. They are based on the definitions included in Archives New Zealand Glossary of Archives and Recordkeeping Terms.

Accountability

The "principle that individuals, organisations, and the community are responsible for their actions and may be required to explain them to others". (ISO 15489-2001, Part 1, 3.2)

Business activity

An umbrella term covering all functions, processes, activities and transactions of the Ministry of Best Practice and its employees. (Based on AS 4390-1996, Part 1, 4.6)

Capture

A deliberate action which results in the registration of a record into the Ministry's recordkeeping system. For certain business activities, this action has been designed into electronic systems so that the capture of the records is concurrent with the creation of records. (Based on DIRKS, Glossary, p.4 taken from AS 4390- 1996, Part 1, 4.7)

Disposal

The final decision concerning the fate of records, i.e. destruction or transfer to archives. This also includes the programme of activities to support transfer such as surveys, scheduling, and records destruction. (Keeping Archives, p.467)

All Ministry records disposal will be in accordance with the authorised Retention and Disposal Schedule.

Electronic records

Any record that is created or stored by digital means. Includes documents, databases, and e-mail.

Migration

The "act of moving records from one system to another, while maintaining the records' authenticity, integrity, reliability, and usability". (ISO 15489-2001, Part 1, 3.13)

Public records

Records created by a public office, such as the Ministry of Best Practice, in the conduct of its affairs.

Record/s

Information including a document, a signature, a seal, text, images, sound, speech or date compiled, recorded, or stored -

• (a) in written form on any material; or
• (b) on file, negative, tape or other medium; or
• (c) by means of any recording device or process, computer or other electronic device or process (s4, Public Records Act 2005)

Recordkeeping

"The creation and maintenance of complete accurate and reliable evidence of business transactions in the form of recorded information." (AS 4390-1996, Part 1, 4.19)

Recordkeeping systems

"[I]nformation systems which capture, maintain and provide access to records over time." (AS 4390-1996, Part 1, 4.20) In the Ministry of Best Practice, the official recordkeeping system is its central electronic records management system.

Vital Records

Those records without which the Ministry could not continue to function.

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APPENDIX 2. > REFERENCES

The following sources provide further information and were used in the preparation of this policy:

Archives New Zealand, Continuum Resource Kit, http://continuum.archives.govt.nz/

Best Practice Act 1998.

Employment Relations Act 2000.

International Standards Organisation, ISO 15489, Information and Documentation – Records Management, Geneva, 2001. (ISO 15489)

Ministry of Best Practice, Disaster Preparedness Plan, October 1999.

Ministry of Best Practice, Records Management Procedural Guide, February 2001.

Official Information Act 1982.

Public Service Code of Conduct. Privacy Act 1993.

Public Records Act 2005.